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Monthly Archives: September 2013
SEC Charges Thought Development, Inc. and its Owner Alan Amron with Registration Violations
SEC v. Thought Development, Inc. and Alan Amron, Case No. 1:13-cv-23476 (S.D. Fla.). On September 26, 2013, the SEC announced charges against Thought Development, Inc. (“TDI”) and its founder and chairman Alan Amron with violations Sections 5(a) and 5(c) of … Continue reading
Posted in Securities
Tagged SEC, Securities Act, Unregistered Securities Transactions
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SEC Charges Peter Kirschner, Stuart Rubens, Advanced Equity Partners and Premiere Consulting with Fraud and Registration Violations
SEC v. Advanced Equity Partners, LLC, Premiere Consulting, LLC, Peter Kirschner and Stuart Rubens, Case No. 3:13-cv-62100 (S.D. Fla.). On September 26, 2013, the SEC announced fraud charges against Peter Kirschner, a repeat offender, his business partner Stuart Rubens, and … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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CFTC Closes Investigation of Silver Markets without Recommending Enforcement Actions
On September 25, 2013, the CFTC’s Division of Enforcement announced it has closed the investigation that was publicly confirmed in September 2008 concerning silver markets without recommending any charges. Although the CFTC rarely comments on opening or closing investigations, the … Continue reading
SEC Charges Game Company CEO Troy Lyndon and Ronald Zaucha with Fraud
SEC v. Troy Lyndon and Ronald Zaucha, Case No. CV13 00486 SOM KSC (D. Haw.). On September 25, 2013, the SEC announced fraud charges against Troy Lyndon, the founder, CEO and CFO of a religious-themed video game manufacturer and his … Continue reading
SEC Charges Bank Executives Ted Awerkamp and Michael McGrath with Fraud
SEC v. Mercantile Bancorp, Inc. et al., Case No. 3:13-cv-03341-RM-BGC (C.D. Ill.). On September 24, 2013, the SEC announced charges against Mercantile Bancorp, its former CEO Ted Awerkamp, and its former CFO Michael McGrath for failing to notice in the … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, SEC, Securities Act, Securities Exchange Act
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SEC Charges Larry Polhill with Investment Fraud
SEC v. Larry R. Polhill, Case No. EDCV13-1729 MRP (SPx) (C.D. Cal.). On September 24, 2013, the SEC announced charges against Larry Polhill for allegedly defrauding hundreds of investors who bought promissory notes believing they were secured by collateral. According … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges 10 Brokers in Connection with the McGinn Smith Ponzi Scheme
In the Matter of Donald J. Anthony, Jr. et al., Admin Proc. No. 3-15514. On September 23, 2013, the SEC announced charges against 10 former brokers for their roles in a $125 million investment scheme. In 2010, the SEC filed … Continue reading
Posted in Securities
Tagged Fraud, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
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SEC Charges Frank Spinosa and TD Bank for their Role in Rothstein Ponzi Scheme
SEC v. Frank Spinosa, Case No. 0:13-cv-62066 (S.D. Fla.); In the Matter of TD Bank, N.A., Admin Proc. No. 3-15512. On September 23, 2013, the SEC announced fraud charges against TD Bank and former executive Frank Spinosa for their roles in … Continue reading
Posted in Securities
Tagged Fraud, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
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SEC Charges Filmmaker Lawrence Robbins with Insider Trading
SEC v. Lawrence J. Robbins, (S.D.N.Y.). On September 23, 2013, the SEC announced insider trading charges against independent filmmaker Lawrence Robbins. According to the SEC, Robbins traded in Millennium Pharmaceuticals Inc. and Sepracor Inc. securities based on inside information that … Continue reading
SEC Charges Former Qualcomm Executive Jing Wang and his Financial Advisor Gary Yin with Insider Trading
SEC v. Jing Wang and Gary Yin, Case No. 3:13-cv-02270-L-WVG (S.D. Cal.). On September 23, 2013, the SEC announced insider trading charges against former Qualcomm executive Jing Wang and his financial adviser Gary Yin for trading ahead of major announcements … Continue reading
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