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Monthly Archives: July 2013
SEC Charges Cedric Cañas Maillard and Julio Marín Ugedo with Insider Trading
SEC v. Cedric Cañas Maillard and Julio Marín Ugedo, Case No. 13-cv-5299 (S.D.N.Y.). On July 31, 2013, the SEC announced insider trading charges against Cedric Cañas Maillard, a former executive advisor to the CEO of Spanish bank Banco Santander S.A., … Continue reading
SEC Charges Sandeep Aggarwal With Tipping S.A.C. Capital Portfolio Manager
SEC v. Richard Lee and Sandeep Aggarwal, Case No. 13-cv-5185 RMB (S.D.N.Y.). On July 30, 2013, the SEC announced it amended the complaint filed last week against S.A.C. portfolio manager Richard Lee to add charges that Sandeep Aggarwal tipped Lee. … Continue reading
SEC Approves JOBS Act Requirement to Lift General Solicitation Ban
On July 10, 2013, by a 4-1 vote, the SEC eliminated the prohibition of general solicitations and advertisings for securities offerings exempt from the SEC’s registration requirement. The new rules become final 60 days after publication in the federal register. … Continue reading
SEC Freezes Assets of Kevin G. White in Alleged Forex Trading Scam
SEC v. Kevin G. White et al., Case No. 4:13-cv-00383 RAS (E.D. Tex.). On July 12, 2013, the SEC announced it obtained an emergency court order to freeze the assets of Kevin G. White and his companies. The Commodity Futures … Continue reading
Posted in Securities
Tagged CFTC, Forex, Fraud, SEC, Securities Act, Securities Exchange Act
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SEC Freezes Assets of Insider Traders in Onyx Pharmaceuticals Options
SEC v. One or More Unknown Traders in the Securities of Onyx Pharmaceuticals, Inc., Case No. 13 CIV 4645 (S.D.N.Y.). On July 9, 2013, the SEC announced it obtained an emergency court order to freeze the assets of traders using … Continue reading
SEC Obtains Emergency Freeze in Connection with Illegal Sales of Biozoom Stock
SEC v. Magdalena Tavella et al., Case No. 13 CIV 4609 (S.D.N.Y.). On July 3, 2013, the SEC announced charges against eight Argentine citizens for selling millions of shares of Biozoom. The SEC also obtained an emergency order to freeze … Continue reading
Posted in Securities
Tagged SEC, Securities Act, Unregistered Securities Transactions
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Securities Enforcement Blog 