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Monthly Archives: November 2013
President Obama Nominates Treasury Department Official Timothy Massad to Head the CFTC
On November 12, President Obama announced the nomination of Timothy Massad to replace Gary Gensler as chairman of the CFTC.
SEC Charges Subsidiary of the Royal Bank of Scotland with Fraud in Connection with Mortgage-Backed Security Offering
SEC v. RBS Securities, Inc., Case No. 3:13-cv-01643 (D. Conn.). On November 7, 2013, the SEC announced it filed settled fraud charges against RBS Securities Inc., a subsidiary of the Royal Bank of Scotland plc, in connection with a subprime … Continue reading
CFTC Obtains Restraining Order Against Commodity Pool Operator and Trading Advisor AlphaMetrix
CFTC v. AlphaMetrix, LLC, Case No. 1:13-cv-7896 (N.D. Ill.) On November 6, 2013, the CFTC announced charges against AlphaMetrix, LLC (“AlphaMetrix”), a Commodity Pool Operator and Commodity Trading Advisor. The CFTC alleges that AlphaMetrix misappropriated funds belonging to commodity pools … Continue reading
SEC Charges Audit Firm Sherb & Co. LLP and Four of its Auditors for Audit Failures of China-based Companies
In the Matter of Sherb & Co., LLP, et al., Admin Proc. No. 3-15609. On November 6, 2013, the SEC announced the filing of a settled administrative proceeding against Sherb & Co. LLP, and four of its auditors, Steven J. … Continue reading
SEC Files Subpoena Enforcement Action against Anthony Coronati
SEC v. Anthony Coronati, Case No. 1:13-mc-00372-P1. On November 5, 2013, the SEC announced it filed a subpoena enforcement action against Anthony Coronati and obtained an order directing Coronati to show cause why he should not be ordered to comply … Continue reading
SEC Charges Municipal Issuer and the Underwriter and Outside Developer in Connection with a Bond Offering that Financed the Construction of a Regional Events Center and Ice Hockey Arena
In the Matter of the Greater Wenatchee Regional Events Center Public Facilities District, et al., Admin Proc. No. 3-156602; In the Matter of Piper Jaffray & Co. and Jane Towery, Admin Proc. No. 3-15603. On November 5, 2013, the SEC … Continue reading
SEC Obtains Emergency Relief Against Christopher A.T. Pedras to Stop Ponzi Scheme
SEC v. Christopher A.T. Pedras, et al., Case No. CV 13-07932 DMG JCGx (C.D. Cal.) On November 4, 2013, the SEC announced it obtained an emergency asset freeze against Christopher A.T. Pedras who allegedly deceived investors into believing they were … Continue reading
SEC Charges Yin Nan Wang and Wendy Ko in Real Estate Scheme and Obtains Emergency Asset Freeze
SEC v. Yin Nan “Michael” Wang, Wendy Ko, et al., Case No. CV 13-07553 JAK CSSx (C.D. Cal.) On November 1, 2013, the SEC announced it obtained an emergency asset freeze against Yin Nan (Michael) Wang, Wendy Ko and some … Continue reading
Posted in Securities
Tagged Fraud, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
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