- SEC Charges Microsoft Manager Brian Jorgenson and his Friend Sean Stokke with Insider Trading
- SEC Obtains Emergency Relief against Robert Helms and Janniece Kaelin in Alleged Ponzi Scheme
- SEC Charges Fifth Third Bancorp and its Former CFO Daniel Poston with Fraud for Accounting Practices during the Financial Crisis
- SEC Settles Insider Trading Case against Charles Langston III
- SEC Settles Penny Stock Case Against Curt Kramer for $1.4 Million
Other BraunHagey Blogs
Monthly Archives: October 2013
On October 9, 2013, the SEC announced the launch of its new website that will share data, research and analysis related to the market structure. The new website will be a central repository for information that used to be accessible … Continue reading
Mark Cuban tells his side of the story in the high-profile SEC trial.
CFTC v. Lions Wealth Holdings, Inc. et al, Case No. 2:13-cv-01787 (D. Nev.). On September 30, 2013, the CFTC announced fraud charges against Lions Wealth Holdings, Inc. and Lions Wealth Services, Inc., both doing business as Lions Wealth Capital (collectively, … Continue reading
SEC Charges Brett Cooper in Prime Investment Fraud and Also Sues Attorney David Frederickson Who Served as Escrow Agent
Securities and Exchange Commission v. Brett A. Cooper, Global Funding Systems LLC, Dream Holdings, LLC, Fortitude Investing, LLC, Peninsula Waterfront Development, LP, and REOP Group Inc., Case No. 1:13-cv-05781-RMB-AMD (D.N.J.); SEC v. David H. Frederickson and The Law Offices of … Continue reading
SEC Charges Auditing Firm Patrizio & Zhao LLC and one of its Founding Partner for Bad Audits of China-Based Company
In the Matter of Patrizio & Zhao LLC and Xinggeng (John) Zhao, CPA, Admin. Proc. No. 3-15534. On September 30, 2013, the SEC announced it filed a settled Order Instituting Proceedings (“OIP”) charging auditing firm Patrizio & Zhao LLC (“P&Z”) … Continue reading
SEC v. Jenny E. Coplan, Case No. 1:13-cv-62127 (S.D. Fla.). On September 30, 2013, the SEC announced charges against Jenny E. Coplan for allegedly conducting a Ponzi scheme and affinity fraud that targeted the Colombian-American community. According to the SEC, … Continue reading
SEC.gov | SEC Awards More Than $14 Million to Whistleblower.