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- 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
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Author Archives: BraunHagey & Borden
SEC Suspends Trading of 61 Companies
In the Matter of 3CI Complete Compliance Corp. et al. On June 3, 2013, the SEC announced it had suspended trading in the securities of 61 empty shell companies that are delinquent in their public filings. The list of companies … Continue reading
SEC Charges Mark Morrow and His Firm with Offering Fraud
SEC v. Detroit Memorial Partners, LLC and Mark Morrow, Case No. 1:13-cv-01817 WSD (N.D. Ga.). On June 3, 2013, the SEC announced it charged Detroit Memorial Partners, LLC (“DMP”) and its managing member, Mark Morrow in an offering fraud. The SEC … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges PACCAR Inc. With Hundreds of Accounting Deficiencies
SEC v. PACCAR INC. and PACCAR Financial Corp, Case No. 2:13-cv-00953 (W.D. Wa.). On June 3, 2013, the SEC announced it charged commercial truck manufacturer PACCAR, Inc. and a subsidiary, PACCAR Financial Corp. with hundreds of accounting deficiencies that lead … Continue reading
SEC Charges Attorney Robert A. Gist with Stealing $5.4 Million from Investors
SEC v. Robert A. Gist et al., Case No. 1:13-cv-01833 AT. On May 31, 2013, the SEC announced it charged attorney Robert A. Gist and Gist, Kennedy & Associates, Inc. (“Gist Kennedy”), a company that Gist controls, with defrauding investors … Continue reading
SEC Charges Total S.A. With FCPA Violations for Payments to Iranian Official
In the Matter of Total S.A., SEC Admin. Proc. No. 3-15338. On May 29, 2013, the SEC announced it filed a settled administrative proceeding against Total S.A. for violating the FCPA by paying $60 million in bribes to associates of … Continue reading
SEC Files Settled Charges Against NASDAQ Related to Facebook IPO
In the Matter of the NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC, SEC Admin. Proc. No. 3-15339. On May 29, 2013, the SEC announced it filed a settled administrative proceeding against NASDAQ related to poor systems and decision-making … Continue reading
SEC Charges Daniel Bergin with Front Running
SEC v. Daniel Bergin, et al., Case No. 3:13-cv-1940 (D. TX.). On May 24, 2013, the SEC announced it filed an emergency action and obtained an asset freeze against Daniel Bergin, an equity trader at Cushing MLP Asset Management. According … Continue reading
Posted in Securities
Tagged Fraud, Investment Company Act, SEC, Securities Exchange Act
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SEC Charges China-based Executives Dejun “David” Zou and Jianping “Amy” Qiu with Stealing Money and Overstating Revenues
SEC v. RINO International Corporation, et al., Case No. 1:13-cv-00711 (D.D.C). On May 15, 2013, the SEC announced it filed fraud charges against China-based RINO, Corp., its former CEO, Dejun “David” Zou, and its chairman of the board, Jianping “Amy” … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, SEC, Securities Act, Securities Exchange Act
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SEC Charges China-based Sabuye, Inc. and former CFO James T. Crane with Fraud
SEC v. Subaye, Inc. and James T. Crane, Case No. 13-civ-3114 (S.D.N.Y). On May 8, 2013, the SEC announced it filed fraud charges against China-based Subaye, Inc. and its former CFO, James T. Crane. According to the SEC, Subaye purported … Continue reading
SEC Charges Traders in Illegal Kickback Scheme
SEC v. Thomas Alberto Clarke Bethancourt et al, Case No. 13-cv-3074 (S.D.N.Y). On May 6, 2013, the SEC announced it filed fraud charges against Tomas Alberto Clarke Bethancourt, Iuri Rodolfo Bethancourt, Jose Alejandro Hurtado, and Haydee Leticia Pabon. The SEC … Continue reading
Posted in Securities
Tagged Broker-Dealer, Fraud, SEC, Securities Act, Securities Exchange Act
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Securities Enforcement Blog 