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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
U.S District Court in South Carolina Orders $7.5 Million in Penalties, Restitution and Disgorgement in Forex Ponzi Scheme
In U.S. Commodity Futures Trading Commission v. Ronald E. Satterfield et al., Case No. 2:10-CV-2893-RMG, the CFTC obtained two consent orders of permanent from the U.S. District Court for the District of South Carolina. One order requires Ronald E. Satterfield … Continue reading
SEC Settles Regulation FD Case Against Former CEO of Presstek, Inc. for $50,000 Civil Monetary Penalty
EC v. Presstek, Inc. and Edward J. Marino, Case No. 1:10-cv-10406 (D. Mass.). On May 15, 2012, the SEC announced that Edward J. Marino agreed to settle the SEC’s charges that he aided and abetted Presstek’s violations of Section 13(a) … Continue reading
CFTC Orders $850,000 in Penalties and Restitution in Forex Fraud Case
This week, the U.S. Commodity Futures Trading Commission filed and simultaneously settled charges against Alexandre P. Guimaraes and his company, ACI Capital Group, L.L.C. for fraudulently soliciting customers to trade off-exchange foreign currency contracts (“forex”). According to the Order Instituting … Continue reading
Securities Enforcement Blog 