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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 Former J. Crew Director Frank LoBue With Insider Trading
SEC v. Frank LoBue, Case No. 12 CIV 7944 (S.D.N.Y). On October 25, 2012, the SEC announced insider trading charges against Frank LoBue, a former Director of Store Operations at J Crew. LoBue regularly received confidential information about J. Crew’s … Continue reading
SEC Charges James Mulholland, Jr. and Thomas Mulholland in Real Estate Offering Fraud
SEC v. James C. Mulholland, Jr. and Thomas Mulholland, Case No. 12-cv-14663 (E.D. Mich.). On October 23, 2012, the SEC announced fraud charges against James Mulholland, Jr. and his brother Thomas Mulholland. The case concerns the Mulhollands’ real estate business … Continue reading
SEC Charges Joseph Pacificio with Financial Fraud
SEC v. Joseph Pacifico, Case No. 1:12-cv-03636 (N.D. Ga.). On October 18, 2012, the SEC announced charges against Joseph Pacifico, a former President of Carter’s, Inc., marketer of children’s clothing, for engaging in financial fraud at Carter’s. Carter’s Executive Vice … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, SEC, Securities Act, Securities Exchange Act
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Hong Kong Firm Ordered To Pay $14 Million to Settle Insider Trading Charges
SEC v. Well Advantage Limited, et al., Case No. 12-cv-5786(S.D.N.Y.). Previously, I’ve blogged here and here about the SEC’s asset freezes obtained in connection with insider trading related to various Chinese companies. On October 18, 2012, the SEC announced that … Continue reading
SEC Charges Geoffrey Lunn, Darlene Bishop and Vincent Curry in $5.77 Million Investment Scheme
Securities and Exchange Commission v. Geoffrey H. Lunn, Darlene A. Bishop and Vincent G. Curry, Case No. 12-cv-02767 (D. Colo.). On October 18 2012, the SEC announced charges against Geoffrey H. Lunn, Darlene A. Bishop and Vincent G. Curry for … Continue reading
SEC Obtains More Than $3 Million In Accounting Fraud
Securities and Exchange Commission v. Joseph J. Monterosso, et. al., Case No. 07-61693 (S.D. Fla.). On October 18 2012, the SEC announced that it obtained disgorgement, civil penalties, and officer-and-director bars against four remaining defendants in an accounting fraud action … Continue reading
SEC Defendant Arnett Waters Now Faces Criminal Charges in Fraud Scheme
SEC v. A.L. Waters Capital, LLC, et al., Case No. 12-cv-10783-DJC (D. Mass.); U.S. v. Arnett L. Waters, 12-cr-10336-DJC (D. Mass.). On May 1, 2012, the SEC filed charges against Arnett Waters and two of his companies for their roles … Continue reading
SEC Charges Michael Southworth With Touting And Acting As An Unregistered Broker
SEC v. The Investors Registry, LLC, and Michael J. Southworth, Case No. 2:12-cv-02214-MEA (D. Ariz.). On October 17, 2012, the SEC announced charges against Michael Southworth and The Investors Registry, LLC (“TIR”). Southworth sold memberships in TIR. Southworth profiled various … Continue reading
SEC’s Aberrational Performance Inquiry Leads To Charges Against Hedge Fund Executives Mark Angelo and Edward Schinik
SEC v. Yorkville Advisors, LLC, et al., Case No. 12-civ-7728 (S.D.N.Y.) The SEC’s Aberrational Performance Inquiry, which is a joint effort among the Division of Enforcement, Office of Compliance, Inspections and Examinations, and the Division of Risk, Strategy and Financial … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Obtains Judgment Against Derek F.C. Elliott in Connection with Fraudulent Offer of Interests in Dominican Republic Resorts
SEC v. James S. James B. Catledge, et al., Case No. 2:12-cv-00887-JCM-RJJ (D. Nevada). On October 15, 2012, the SEC announced it obtained a judgment against Derek F.C. Elliott. The SEC’s enforcement action was filed in May 2012, against James … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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Securities Enforcement Blog 