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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
Egan-Jones and its Founder Agree to 18-Month Bars from Rating Asset-Backed and Government Issuers
In the Matter of Egan-Jones Ratings Company and Sean Egan, Admin Proc. No. 3-14856. On January 22, 2013, the SEC announced that Egan-Jones Ratings Company (“EJR”) and its president Sean Egan have agreed to settle charges that they made misleading … Continue reading
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SEC Files Settled Insider Trading Case Against John Darden III
SEC v. John M. Darden III, Case No. 1:13-cv-00138-ODE (D. Ga.). On January 17, 2013, the SEC announced it filed a settled insider trading case against John M. Darden III. The SEC alleges that Darden obtained inside information about a … Continue reading
SEC Files Settled Insider Trading Case Against Eric Rogers
SEC v. Eric D. Rogers, Case No. 13-CV-0374 (S.D.N.Y.). On January 17, 2013, the SEC announced it filed a settled insider trading case against Eric D. Rogers. Rogers used to be a trader for Spectrum Trading, LLC, a registered broker-dealer. … Continue reading
Posted in Securities
Tagged Broker-Dealer, Insider Trading, SEC, Securities Exchange Act
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SEC Obtains Summary Judgment In Offering Fraud
SEC v. Francis E. Wilde, Steven E. Woods, Mark A. Gelazela, Bruce H. Haglund, Matrix Holdings LLC, BMW Majestic LLC, IDLYC Holdings Trust LLC, and IDLYC Holdings Trust, et al., Case No. SACV 11-315 DOC (AJWx ) (C.D. Cal.). On … Continue reading
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Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges Volt Information Sciences, Debra Hobbs and Jack Egan With Securities Fraud
SEC v. Jack J. Egan, Jr., Case No. 13-CV-236 (S.D.N.Y.); SEC v. Volt Information Sciences, Inc. and Debra L. Hobbs, Case No. 13-CV-237 (S.D.N.Y.). On January 10, 2013, the SEC filed enforcement actions alleging securities fraud against Volt Information Sciences, … Continue reading
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Tagged Books and Records, Fraud, Internal Controls, SEC, Securities Act, Securities Exchange Act
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Eli Lilly Settles SEC FCPA Case By Agreeing to Pay $29 Million
SEC v. Eli Lilly and Company, Case No. 1:12-cv-02045 (D.D.C.). On December 20, 2012, the SEC announced charges against Eli Lilly and Company for violations of the Foreign Corrupt Practices Act (“FCPA”) for unlawful payments made to government officials in … Continue reading
SEC Charges Investment Advisory Firms and Portfolio Managers For Collapse of Mutual Fund
In the Matter of Claymore Advisors, LLC, Admin. Proc. File No. 3-15139; In the Matter of Mohamed Riad and Kevin Timothy Swanson, Admin. Proc. File No. 3-15141; In the Matter of Fiduciary Asset Management, LLC, Admin. Proc. File No. 3-15140. … Continue reading
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Tagged Fraud, Investment Advisers Act, Investment Company Act, SEC, Securities Exchange Act
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SEC Charges Hedge Fund Manager Peter Eichler, Jr. With Fraud Steering Winning Trades To Select Clients
SEC v. Aletheia Research and Management, Inc. and Peter J. Eichler, Jr., Case No. 12-cv-10692-JFW (RZx) (C.D. Cal.). On December 14, 2012, the SEC announced charges against Hedge Fund Manager Peter Eichler and his firm Aletheia Research and Management, Inc. … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Settles Fraud Claims Against Hedge Fund Manager Steven Hart For $1.3 Million
SEC v. Steven B. Hart, Case No. 12-CIV-8986 (S.D.N.Y). On December 11, 2012, the SEC announced it filed a settled fraud action against hedge fund manager Steven Hart for engaging in trading schemes. According to the SEC, Hart caused the … Continue reading
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Tagged Fraud, Insider Trading, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Files Settled Offering Fraud Case Against Rodney Ratheal
SEC v. Premco Western, Inc. and Rodney Scott Ratheal, Case No. 2:12-cv-01120-BSJ (D. Utah). On December 10, 2012, the SEC announced it filed a settled fraud action against Premco Western, Inc., an oil and gas company that drills on land … Continue reading
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Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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Securities Enforcement Blog 