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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
CFTC Obtains Emergency Order Freezing Assets of Robert Stanley Harrison
CFTC v. Robert Stanley Harrison, Case No. 8:13-cv-00327-GRA (D.S.C.). On February 11, 2013, the CFTC announced that the U.S. District Court for the District of South Carolina froze the assets of Robert Stanley Harrison. The CFTC charged Harrison with fraudulently … Continue reading
SEC Files Emergency Action in a $150 Million Investment Scheme
SEC v. A Chicago Convention Center, LLC, Anshoo Sethi, and Intercontinental Regional Center Trust of Chicago, LLC, Case No. 13-cv-982 (E.D. Ill.). On February 8, 2013, the SEC announced charges and an asset freeze against Anshoo Sethi, A Chicago Convention Center … Continue reading
SEC Gives Up on Case against IndyMac CFO A. Scott Keys
SEC v. Michael W. Perry et al, Case No. CV 11-1309 R (JCx) (C.D. Cal.). On February 7, 2013, the SEC announced that a federal judge granted summary judgment in favor of A. Scott Keys, a former CFO of IndyMac Bancorp., … Continue reading
SEC Settles Insider Trading Case against Former Executive at a Coca-Cola Bottling Company
SEC v. Steven Harrold, Case No. CV 12-1959 GW (JCx) (C.D. Cal.). On February 6, 2013, the SEC announced that it settled insider trading charges against Steven Harrold, a former executive at a Coca-Cola bottling company. In its complaint filed … Continue reading
SEC Files Insider Trading Case against James Balchan for Trading on Information Gained from his Wife, a Law Firm Partner
SEC v. James Balchan, Case No. 4:13-cv-00298 (S.D. Tx.). On February 6, 2013, the SEC announced that it filed insider trading charges against James Balchan for trading ahead of the acquisition of National Semiconductor after he misappropriated confidential information from … Continue reading
CFTC Obtains $325 Million Penalty to Settle LIBOR Case against the Royal Bank of Scotland and RBS Securities Japan Limited
In the Matter of The Royal Bank of Scotland plc and RBS Securities Japan Limited, CFTC Docket No. 13-14. On February 6, 2013, the CFTC announced it issued a settled Order against the Royal Bank of Scotland and RBS Securities Japan related … Continue reading
CFTC Sues Halifax Investment Services for Illegal Solicitation of Forex Orders
CFTC v. Halifax Investment Services, Ltd., Case No. 1:13-cv-00892 (E.D.Ill.). On February 5, 2013, the CFTC announced charges against Halifax Investment Services, Ltd. of Sydney, Australia relating to the solicitation and acceptance of forex orders from U.S. customers without the … Continue reading
SEC Settles Case against Former Officers of Gibraltar Asset Management Group
SEC v. Garfield Taylor, Inc., et al., Case No. 1:11-cv-02054-RLW (D.D.C.). On February 5, 2013, the SEC announced that it settled its case against three former officers of Gibraltar Asset Management Group, LLC for their role in a $27 million … Continue reading
SEC Settles Insider Trading Case Against Four Company Executives and Two Tippees
SEC v. Patrick M. Carroll, James P. Carroll, William T. Carroll, David Mark Calcutt, Christopher Calcutt, David Stitt, John Monroe and Stephen Somers, Case No. 3:11-cv-165-H. On February 5, 2013, the SEC announced that it settled insider trading charges in … Continue reading
SEC Announces that Investment Adviser Timothy Roth Was Sentenced to 12 Years in Parallel Criminal Case
SEC v. Timothy J. Roth, et al, Case No. 11-cv-02079 (C.D. Ill.). On February 5, 2013, the SEC announced that a federal judge sentenced Timothy J. Roth to 151 months in prison and ordered him to pay $16,151,964 in restitution … Continue reading
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Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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