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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 Charges Solar Company In Market Manipulation Case
SEC Sunrise Solar Corporation, Eddie D. Austin, Jr., and Carolyn Austin, Civil Action No. 5:12-cv-00918-OLG (W.D. Tx.). On October 1, 2012, the SEC announced it had filed fraud charges against Sunrise Solar Corporation, its former CEO Eddie D. Austin, Jr., … Continue reading
SEC Charges Subramanian Krishnan With Evading Internal Controls
SEC v. Subramanian Krishnan, Case No.: 12-CV-2495 PAM-JJG (D. Minn.). On September 28, 2012, the SEC announced it had filed a partially-settled enforcement action against Subramanian Krishnan. Krishnan was the former CFO of Digi International, Inc. (“Digi”). Corporate funds were used to pay for unauthorized travel … Continue reading
Posted in Securities
Tagged Fraud, Internal Controls, SEC, Securities Act, Securities Exchange Act
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SEC Charges Investment Bank Analyst And Friend With Insider Trading
SEC v. v. Jauyo (“Jason”) Lee and Victor Chen, Case No. C12-5031-JSC (N.D. Cal.). On September 27, 2012, the SEC announced insider trading charges against Jauyo “Jason” Lee and his friend Victor Chen. Lee routinely received sensitive information as an investment banker … Continue reading
SEC Charges Bradley Holcom and Jose Pinedo in $42 Million Fraud Targeting Senior Citizens
SEC v. Bradley A. Holcom, Case No. 3:12-cv-01623 (S.D. Cal.); SEC v. Jose L. Pinedo, Case No. 3:12-cv-01620 (S.D. Cal.). On September 27, 2012, the SEC announced fraud charges against Bradley Holcom and Jose Pinedo. Holcom was behind an unregistered … Continue reading
SEC Charges Jonathan Bryant, Thomas Kelly, Carl Duncan and 8000, Inc. In Market Manipulation Scam
SEC v. 8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, Esq., Case No. 12-CV-7261 (S.D.N.Y.). On September 27, 2012, the SEC announced charges against 8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, … Continue reading
SEC Settles Pay-to-Play Case Against Goldman Sachs and Neil Morrison for $7 million
In the Matter of Goldman, Sachs & Co., Admin. Proc. No. 3-15048; In the Matter of Neil Morrison, Admin Proc. No. 3-15049. On September 27, 2012, the SEC announced charges against Goldman, Sachs & Co. and its former investment banker … Continue reading
SEC Files Fraud Charges Against Bank Executives For Misstating Losses
SEC v. Gilbert G. Lundstrom et al., Case No. 8:12-cv-00343 (D. Neb.); SEC v. Don A. Langford, Case No. 8:12-cv-00344 (D. Neb.). On September 25, 2012, the SEC announced fraud charges against Gilbert Lundstrom, who was CEO and chairman of … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, Insider Trading, Internal Controls, SEC, Securities Exchange Act
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SEC Charges Four Individuals In $1.7 Million Investment Scam
SEC v. Rudolf D. Pameijer, et al., Case No. 1:12-CV-01364 (S.D. In.). On September 24, 2012, the SEC announced fraud charges against Rudolf D. Pameijer, Lindsay R. Sayer, Ryan W. Koester and his entity Rykoworks Capital Group, LLC. Koester claimed to be an … Continue reading
Posted in Securities
Tagged Broker-Dealer, Forex, Fraud, Penny Stock, SEC, Securities Act, Securities Exchange Act
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SEC Charges Registered Representative David Rothman Stealing Investor Funds
SEC v. David L. Rothman, Case No. 12-cv-5412-BMS (E.D. Pa.). On September 24, 2012, the SEC announced fraud charges against David Rothman, a registered representative and minority owner of Rothman Securities, Inc., a broker-dealer registered with the SEC. For several years Rothman provided … Continue reading
Posted in Securities
Tagged Broker-Dealer, Fraud, Registered Representative, SEC, Securities Act, Securities Exchange Act
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Tyco International, Ltd. To Pay $26 Million to Settle Foreign Corrupt Practices Act Violations
SEC v. Tyco, International Ltd., Case No. 1:12-cv-01583 (D.D.C.). On September 24, 2012, the SEC announced the filing of a settled FCPA case against Tyco. In 2006, the SEC filed a settled FCPA action against Tyco in which the company … Continue reading
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