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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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Category Archives: Securities
SEC Charges Microsoft Manager Brian Jorgenson and his Friend Sean Stokke with Insider Trading
SEC v. Brian D. Jorgenson and Sean T. Stokke, Case No. 2:13-cv-02275 (W.D. Wash.). On December 19, 2013, the SEC announced insider trading charges against Brian D. Jorgenson and Sean T. Stokke. According to the SEC, Jorgenson got confidential information … Continue reading
SEC Obtains Emergency Relief against Robert Helms and Janniece Kaelin in Alleged Ponzi Scheme
SEC v. Robert A. Helms, et al., Case No. 1:13-cv-01036-LY (W.D. Tex.). On December 6, 2013, the SEC announced it obtained an asset freeze and other emergency relief in an alleged Ponzi scheme. According to the SEC, Robert A. Helms … Continue reading
Posted in Securities
Tagged Broker-Dealer, Fraud, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
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SEC Charges Fifth Third Bancorp and its Former CFO Daniel Poston with Fraud for Accounting Practices during the Financial Crisis
In the Matter of Fifth Third Bancorp and Daniel Poston, Admin. Proc. No. 3-15635. On December 4, 2013, the SEC announced it filed a Settled Administrative Order Instituting Proceedings (“OIP”) against Fifth Third Bancorp and its former CFO Daniel Poston. … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, Internal Controls, SEC, Securities Act, Securities Exchange Act
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SEC Settles Insider Trading Case against Charles Langston III
SEC v. Charles Raymond Langston III et al., Case No. 1:13-cv-24360 (S.D. Fla.) On December 3, 2013, the SEC announced the filing of a settled insider trading case against Charles Raymond Langston III. The SEC also charged his companies with … Continue reading
Posted in Securities
Tagged Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Settles Penny Stock Case Against Curt Kramer for $1.4 Million
In the Matter of Curt Kramer et al., Admin Proc. No. 3-15621. On November 25, 2013, the SEC announced the filing of a settled Order Instituting Cease-and-Desist Proceedings(“OIP”) against Curt Kramer and his firms Mazuma Corporation, Mazuma Funding Corporation, and … Continue reading
Posted in Securities
Tagged SEC, Securities Act, Unregistered Securities Transactions
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SEC Charges Gary Snisky with Defrauding Elderly Investors
SEC v. Gary C. Snisky, Case No. 1:13-cv-03149 (D. Colo.). On November 21, 2013, the SEC announced it charged Gary Snisky with defrauding elderly investors. According to the SEC, Snisky targeted retired annuity holders by using insurance agents to sell … Continue reading
SEC Charges Sam Miri with Insider Trading in Connection with the Galleon Trading Scheme
SEC v. Sam Miri, Case No. 13-cv-8324 (S.D.N.Y.). On November 21, 2013, the SEC announced insider trading charges against Sam Miri, a former employee at Marvell Technology group for tipping inside information used in connection with Raj Rajaratnam’s insider trading … Continue reading
Posted in Securities
Tagged Hedge Fund, Insider Trading, SEC, Securities Exchange Act
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SEC Charges Investment Advisers Gregory Adams and Larry Grossman with Fraud
In the Matter of Larry C. Grossman and Gregory J. Adams, Admin. Proc. No. 3-15617. On November 20, 2013, the SEC announced it issued an Order Instituting Administrative Cease-and-Desist Proceedings (“OIP”) against investment advisers Larry Grossman and Gregory Adams. The … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Examiner Steven Gilchrist Criminally Charged for Allegedly Making False Statements about Prohibited Stock Holdings
On November 19, 2013, SEC examiner Steven Gilchrist was charged by the United States Attorney’s Office for allegedly making misstatements about prohibited stock holdings.
DOJ Announces $13 Billion Settlement with JPMorgan for Misleading Investors About Mortgage-Backed Securities
On November 19, 2013, the DOJ announced that it secured a $13 billion settlement with JPMorgan for misleading investors about securities containing toxic mortgages.
Securities Enforcement Blog 