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Monthly Archives: October 2013
SEC Launches Market Structure Data and Analysis Website
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 Insider Trading Trial
Mark Cuban tells his side of the story in the high-profile SEC trial.
CFTC Charges Lions Wealth Holdings in Alleged Multi-Million Dollar Precious Metals Scheme
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
Posted in Securities
Tagged Broker-Dealer, Fraud, SEC, Securities Act, Securities Exchange Act
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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 Charges Jenny Coplan in Affinity Fraud and Ponzi Scheme
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
SEC.gov | SEC Awards More Than $14 Million to Whistleblower.
Securities Enforcement Blog 