Monthly Archives: December 2013

SEC Charges Microsoft Manager Brian Jorgenson and his Friend Sean Stokke with Insider Trading

SEC v. Brian D. Jorgenson and Sean T. Stokke, Case No. 2:13-cv-02275 (W.D. Wash.).  On December 19, 2013, the SEC announced insider trading charges against Brian D. Jorgenson and Sean T. Stokke.  According to the SEC, Jorgenson got confidential information … Continue reading

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SEC Obtains Emergency Relief against Robert Helms and Janniece Kaelin in Alleged Ponzi Scheme

SEC v. Robert A. Helms, et al., Case No. 1:13-cv-01036-LY (W.D. Tex.).  On December 6, 2013, the SEC announced it obtained an asset freeze and other emergency relief in an alleged Ponzi scheme.  According to the SEC, Robert A. Helms … Continue reading

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SEC Charges Fifth Third Bancorp and its Former CFO Daniel Poston with Fraud for Accounting Practices during the Financial Crisis

In the Matter of Fifth Third Bancorp and Daniel Poston, Admin. Proc. No. 3-15635.  On December 4, 2013, the SEC announced it filed a Settled Administrative Order Instituting Proceedings (“OIP”) against Fifth Third Bancorp and its former CFO Daniel Poston. … Continue reading

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SEC Settles Insider Trading Case against Charles Langston III

SEC v. Charles Raymond Langston III et al., Case No. 1:13-cv-24360 (S.D. Fla.)  On December 3, 2013, the SEC announced the filing of a settled insider trading case against Charles Raymond Langston III.  The SEC also charged his companies with … Continue reading

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