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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 Apparao Mukkamala, Suresh Anne, Jitendra Prasad Katneni, Mallikarjunarao Anne, and Rao A.K. Yalamanchili With Insider Trading
United States Securities and Exchange Commission v. Apparao Mukkamala, et al., Case No. 12-cv-13020 (E.D. Mich. July 10, 2012). On July 10, 2012, the SEC filed settled insider trading charges against five physicians. Between March and July 2010, Mukkamala served … Continue reading
SEC Charges Orthofix International Charged with FCPA Violations
Securities and Exchange Commission v. Orthofix International N.V., Case No. 4:12-CV-419 (E.D. Tex.). On July 10, 2012, the SEC filed a settled action against Orthofix International for violating the Foreign Corrupt Practices Act (“FCPA”). From 2003 to 2010, Orthofix’s wholly-owned Mexican … Continue reading
SEC Charges Peter Madoff Charged with Fraud
Securities and Exchange Commission v. Peter B. Madoff, Case No. 12-civ-5100. On June 29, 2012, the SEC charged Peter Madoff, brother of Bernie Madoff, with fraud, making false statements to regulators, and falsifying books and records. Madoff served as Chief … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Charges FalconStor Software with Bribery
Securities and Exchange Commission v. FalconStor Software, Inc., Case No. 12-3200 (DRH) (E.D.N.Y). On June 27, 2012, the SEC charged FalconStor Software, Inc., a data storage company, with misleading investors about bribes it paid to obtain business with a J.P. Morgan … Continue reading
SEC Charges New York-based Hedge Fund Adviser Philip A. Falcone With Securities Fraud
SEC v. Harbinger Capital Partners LLC; Philip A. Falcone; and Peter A. Jenson, Case No. 12-CV-5028 (S.D.N.Y.); SEC v. Philip A. Falcone; Harbinger Capital Partners Offshore Manager, LLC; and Harbinger Capital Partners Special Situations GP, LLC, Case No. 12-CV-5027 (S.D.N.Y.); … Continue reading
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SEC Charges Equity Research Firm Founder Tai Nguyen with Insider Trading
Securities and Exchange Commission v. Tai Nguyen, Case No. 12-CIV-5009 (S.D.N.Y.). On June 26, 2012 the SEC charged Tai Nguyen, owner of equity research firm Insight Research, with insider trading. The Nguyen case stems from the SEC’s investigation of “expert … Continue reading
Posted in Securities
Tagged Fraud, Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Charges Aubrey Lee Price With Fraud and Freezes His Assets
Securities And Exchange Commission v. Aubrey Lee Price; PFG, LLC; PFGBI, LLC; Montgomery Asset Management, LLC f/k/a PFG Asset Management, LLC, (Florida limited liability company); and Montgomery Asset Management, LLC f/k/a PFG Asset Management, LLC, (Georgia limited liability company), Case No. … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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Fund Adviser AMMB Consultant Sendirian Berhad Agrees to Pay More than $1.5 million to settle SEC Charges
Securities and Exchange Commission v. AMMB Consultant Sendirian Berhad, Case No. 1:12-cv-01052 (D.D.C.). On June 26, 2012, the SEC sued AMMB Consultant Sendirian Berhad (“AMC”), a Malaysian investment adviser, for charging a U.S. registered fund for over a decade for advisory services that AMC did … Continue reading
SEC Charges Wayne Palmer and National Note of Utah with $100 Million Real-Estate Based Ponzi Scheme
Securities and Exchange Commission v. National Note of Utah, LC and Wayne LaMar Palmer, Case No. 2:12-cv-00591. On June 25, 2012, the SEC obtained a temporary restraining order and asset freeze against Wayne L. Palmer and his firm, National Note … Continue reading
SEC Charges 14 Sales Agents in $415 million Ponzi Scheme
SEC v. Bryan Arias et al., Case No. CV12-2937 (E.D.N.Y.). On June 12, 2012, the SEC charged 14 sales agents who misled investors and illegally sold securities for a Long Island-based investment firm at the center of a $415 million … Continue reading
Securities Enforcement Blog 