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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
Nancy Shao Wen Chu Ordered To Pay $15,600,000 Penalty
SEC v. Nancy Shao Wen Chu, Case No. CV 11-09859 (C.D. Cal.). On August 10, 2012, the SEC announced that it had obtained a default judgment against that Nancy Shao Wen Chu, the former CFO for Soyo Group, Inc., ordering … Continue reading
SEC Files Fraud Charges Against Ronald Brooks
SEC v. Ronald Brooks, Case No. 3:12-cv-2716 (N.D. Tx.). On August 9, 2012, the SEC fled fraud charges against Ronald D. Brooks, who served as CEO and Chairman of Standard Oil Company USA, Inc., a purported energy company. Brooks signed … Continue reading
SEC Files Settled FCPA Actions Against Pfizer Inc. and Wyeth LLC
SEC v. Pfizer Inc., Case No. 1:12-cv-01303 (D.D.C.); SEC v. Wyeth LLC, Case No. 1:12-cv-01304 (D.D.C.). On August 8, 2012, the SEC announced the filing of settled actions against Pfizer and Wyeth for violations of the Foreign Corrupt Practices Act … Continue reading
SEC Files Settled Fraud Action Against Kristoffer Krohn, Michael Krohn, Stephen Earl and their Real Estate Investment Company
SEC v. The Companies (TC), LLC et al., Case No. 2:12-cv-00765-DN (D. Utah). On August 7, 2012, the SEC announced the filing of a settled action against The Companies (TC) and its principals Kristoffer Krohn, Stephen Earl and Michael Krohn. … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Unregistered Securities Transactions
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SEC Freezes Another $6 Million in Nexen Insider Trading Case
Recently I blogged about the SEC freezing assets in connection with the acquisition of Nexen by Chinese energy company CNOOC Limited (“CNOOC”). In late July 2012, the SEC filed a complaint alleging that Hong Kong-based Well Advantage Limited and other unknown traders … Continue reading
SEC Charges Joseph McVicker With Insider Trading
SEC v. Joseph McVicker, Case No. 1:12-cv-11434 (D. Mass.) On August 3, 2012, the SEC announced insider trading charges against Joseph McVicker. This case involves unlawful insider trading by McVicker in the stock of Art Technology Group, Inc. (“Art Technology”) … Continue reading
SEC Charges Bristol-Myers Squibb Co. Executive Robert Ramnarine With Insider Trading
SEC v. Robert D. Ramnarine, Case No. 2:12-cv-04837-SDW-MCA. On August 2, 2012, the SEC announced insider trading charges against Robert Ramnarine, a high-level executive in the treasury department at Bristol-Myers Squibb Co. After getting material nonpublic information regarding the potential … Continue reading
Posted in Securities
Tagged bristol myers squibb, Fraud, illegal trades, Insider Trading, ramnarine, SEC, Securities Act, Securities Exchange Act
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SEC Charges Fund Manager Peter Siris and Others With Fraud Related to Chinese Reverse Merger Company
SEC v. Peter Siris, et al.; SEC v. Alan Sheinwald, et al.; In the Matter of Peter Dong Zhou; In the Matter of Stephen Mazuchowski (A/K/A Steve Mazur); In the Matter of James Fuld, Jr. On July 30, 2012, the … Continue reading
SEC Charges Emanuel Sarris and His Firm in $30 Million Ponzi Scheme
SEC v. Emanuel L. Sarris, Sr., et al., Case No. 12-cv-04272-TON (N.D. Pa.). On July 30, 2012, the SEC announced fraud charges against Sarris and his firm Sarris Financial Group, Inc. (“Sarris Financial”) for their role in a Ponzi scheme … Continue reading
Federal Jury Clears Former Citigroup Manager Brian Stoker of Fraud Charges
On July 31, 2012, a federal jury found that former Citigroup Manager Brian Stoker was not liable for fraud in connection with the bank’s sale of mortgage-related investments.
Securities Enforcement Blog 