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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 Investment Advisers Jorge Gomez and Roberto Aleph Espinosa With Fraud
SEC v. Jorge Gomez and Roberto Aleph Espinosa, Case No. 1:12-CV-21962 (S.D. Fl.). On May 29, 2012, the SEC charged Jorge Gomez, an investment adviser, with perpetrating a fraudulent scheme to misappropriate millions from an investment advisory client. The SEC … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Obtains Order to Pay More Than $2.8 million Against New Futures Trading International Corporation and Henry Roche in Ponzi Scheme
SEC v. New Futures Trading International Corporation and Henry Roche, Case No. 11-CV-532-JL (D. NH.) On May 24, 2012 the U.S. District Court for the District of New Hampshire entered final judgments by default against New Futures Trading International Corporation … Continue reading
SEC Charges David M. Connolly in Multi-Million Dollar Real Estate Investment Scam
SEC v. David M. Connolly, Case No. 2:12-cv-02952-WJM-MF (D.N.J.) On May 17, 2012, the SEC charged David Connolly with operating a multi-million-dollar Ponzi-like scheme involving a series of investment vehicles formed for the purpose of purchasing and managing real estate … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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Former SEC Staffer Fined $50,000 by the DOJ and Barred From Practice Before the SEC
In the Matter of Spencer C. Barasch, AP File No. 3-14891. On May 24, 2012, the SEC issued an Order Instituting Administrative Proceedings, Making Findings and Imposing Remedial Sanctions against Spencer Barasch, a former enforcement official in the SEC’s Forth … Continue reading
SEC Charges Northern California Investment Adviser in $60 Million Ponzi Scheme
SEC v. GLR Capital Management, LLC, et al., Case No. CV 12-2663 HRL. Yesterday, the SEC charged John A. Geringer of running a $60 million investment fund like a Ponzi scheme. Geringer, who managed the GLR Growth Fund, misled investors … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Files Insider Trading Charges Against Former Yahoo Executive and Ameriprise Mutual Fund Manager
SEC v. Reema D. Shah and Robert W. Kwok, Civil Action No. 12-CV-4030 (ALC) (S.D.N.Y.). On May 22, 2012, the SEC announced insider trading charges against Robert W. Kwok, former Senior Director of Business Management at Yahoo! Inc., and Reema D. Shah, … Continue reading
SEC Charges Fund Manager for Secretly Diverting Funds to His Own Companies
SEC v. Mark F. Spangler and The Spangler Group, Inc., Case No. 2:12-cv-00856 (D. Wash.). On May 17, 2012, the SEC announced that it filed an action against Mark Spangler, a former chairman of the National Association of Personal Financial … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Exchange Act
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SEC Charges Recidivist in $35 Million International Boileroom Scheme
SEC v. Nicholas Louis Geranio, et al., Case No. CV-12-4257-DMG (JCx) (C. D. Cal.). On May 16, 2012, the SEC announced that it filed an action against SEC recidivist Nicholas Louis Geranio, Keith Michael Field, The Good One, Inc. and … Continue reading
U.S District Court in South Carolina Orders $7.5 Million in Penalties, Restitution and Disgorgement in Forex Ponzi Scheme
In U.S. Commodity Futures Trading Commission v. Ronald E. Satterfield et al., Case No. 2:10-CV-2893-RMG, the CFTC obtained two consent orders of permanent from the U.S. District Court for the District of South Carolina. One order requires Ronald E. Satterfield … Continue reading
SEC Settles Regulation FD Case Against Former CEO of Presstek, Inc. for $50,000 Civil Monetary Penalty
EC v. Presstek, Inc. and Edward J. Marino, Case No. 1:10-cv-10406 (D. Mass.). On May 15, 2012, the SEC announced that Edward J. Marino agreed to settle the SEC’s charges that he aided and abetted Presstek’s violations of Section 13(a) … Continue reading
Securities Enforcement Blog 