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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 Yossef Kahlon For Unregistered Stock Sales of $7.7 Million
Securities and Exchange Commission v. Yossef Kahlon, et al., Civil Action No. 4:12-CV-517 (E.D. Tex.) On August 17, 2012, the SEC announced charges against Jossef Kahlon, a/k/a/ Yossef Kahlon and TJ Management Group, LLC (“TJM”) for selling the stock of … Continue reading
Posted in Securities
Tagged SEC, Securities Act, Unregistered Securities Transactions
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Is Private Equity Ready For Dodd-Frank?
Today’s Wall Street Journal has an interesting article that takes a look at whether Private Equity is ready for the SEC examinations that are sure to come. While many PE firms have hired compliance experts, I agree that only have few of these … Continue reading
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SEC Charges Former Professional Baseball Player Eddie Murray And Others With Insider Trading
Securities and Exchange Commission v. James V. Mazzo, David L. Parker and Eddie C. Murray, Case No. SACV-121327JST-(JPRX) (C.D. Cal. Aug. 17, 2011). A little more than a year ago, the SEC charged former professional baseball player Doug DeCinces and … Continue reading
SEC Settles FCPA Action Against Oracle For $2 Million
Securities and Exchange Commission v. Oracle Corp., 12-CV-4310 CRB (N.D. Cal.). On August 16, 2012, the SEC announced settled FCPA charges against Oracle Corporation. Between 2005 and 2007, employees of Oracle’s Indian subsidiary Oracle India Private Limited (“Oracle India”) secretly … Continue reading
SEC Obtains Emergency Asset Freeze Against Michael Turnock and William Sullivan in $15 Million Ponzi Scheme
Securities and Exchange Commission v. Bridge Premium Finance, LLC, Michael J. Turnock and William P. Sullivan, II, Defendants, 12-CV-6221 (D. Colo.). On August 15, 2012, the SEC announced fraud charges and an emergency asset freeze against Bridge Premium Finance LLC, … Continue reading
SEC Files Settled Action Against Mark Gasarch And His Company In $8 Million Offering Fraud Scheme
Securities and Exchange Commission v. Petro-Suisse Ltd. and Mark Gasarch, 12-CV-6221 (S.D.N.Y.). On August 14, 2012, the SEC charged Mark Gasarch and Petro-Suisse Ltd. with offering fraud. The case concerns limited partnership offerings that Defendants promoted in order to finance … Continue reading
SEC Charges Ivan Wade Brown And His Companies In $27 Million Fraud
Securities and Exchange Commission v. Avanti Capital Partners, LLC, et al., 2:12-cv-788-BCW (D. Utah). On August 13, 2012, the SEC filed charges against Ivan Wade Brown and his two companies: Highland Residential, LLC and Avanti Capital Partners, LLC (Avanti). This … Continue reading
SEC Charges Thomas D. Coldicutt, Jr. And Five Others In $6 Million Scheme
Securities and Exchange Commission v. Thomas D. Coldicutt, Jr., et al., 4:12-cv-00505 (E.D. Tex.). On August 13, 2012, the SEC filed charges against Thomas D. Coldicutt, Jr., Elizabeth L. Coldicutt, Robert C. Weaver, Jr., Christopher C. Greenwood, Linda S. Farrell, … Continue reading
SEC Accounces Its First Whistleblower Payment Under Dodd-Frank
The SEC announced today that it had made its fist payment to a whistleblower pursuant to the Dodd-Frank Act. Although the SEC has touted this as evidence of the success of the whistleblower program, the $50,000 payment seems relatively small. … Continue reading
SEC Charges Edward M. Laborio In Boiler Room Scheme
Securities and Exchange Commission v. Edward M. Laborio, Jonathan Fraiman, Matthew K. Lazar, Envit Capital, LLC, Envit Capital Group, Inc., Envit Capital Holdings, Inc., Envit Capital Private Wealth Management, LLC, Envit Capital Multi Strategy Mixed Investment Fund I LP, Aetius … Continue reading
Securities Enforcement Blog 