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Tag Archives: Books and Records
SEC Charges Fifth Third Bancorp and its Former CFO Daniel Poston with Fraud for Accounting Practices during the Financial Crisis
In the Matter of Fifth Third Bancorp and Daniel Poston, Admin. Proc. No. 3-15635. On December 4, 2013, the SEC announced it filed a Settled Administrative Order Instituting Proceedings (“OIP”) against Fifth Third Bancorp and its former CFO Daniel Poston. … Continue reading
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Tagged Books and Records, Fraud, Internal Controls, SEC, Securities Act, Securities Exchange Act
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SEC Charges Diebold with FCPA Violations in China, Indonesia and Russia
SEC v. Diebold, Inc., Case No. 1:13-cv-01609 (D.D.C.). On October 22, 2013, the SEC announced it filed a settled Foreign Corrupt Practices Act case against ATM maker Diebold, Inc. According to the SEC, Diebold, through its Chinese subsidiary, gave European … Continue reading
SEC Charges Game Company CEO Troy Lyndon and Ronald Zaucha with Fraud
SEC v. Troy Lyndon and Ronald Zaucha, Case No. CV13 00486 SOM KSC (D. Haw.). On September 25, 2013, the SEC announced fraud charges against Troy Lyndon, the founder, CEO and CFO of a religious-themed video game manufacturer and his … Continue reading
SEC Charges Bank Executives Ted Awerkamp and Michael McGrath with Fraud
SEC v. Mercantile Bancorp, Inc. et al., Case No. 3:13-cv-03341-RM-BGC (C.D. Ill.). On September 24, 2013, the SEC announced charges against Mercantile Bancorp, its former CEO Ted Awerkamp, and its former CFO Michael McGrath for failing to notice in the … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, SEC, Securities Act, Securities Exchange Act
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JPMorgan Pays $200 Million to Settle Charges Related to its London Whale Trading Loss and is Forced to Admit Wrongdoing
In the Matter of JPMorgan Chase & Co., Admin. Proc. File No. 3-15507. On September 19, 2013, the SEC announced it issued a settled Order Instituting Proceedings (“OIP”) against JPMorgan Chase & Co. According to the OIP, the Sarbanes-Oxley Act … Continue reading
SEC Files Settled Fraud Action against CFO Dale Ringgenberg and Anchor Bancorp Wisconsin
SEC v. Anchor Bancorp Wisconsin, Inc. and Dale C. Ringgenberg, Case No. 1:13-cv-01241 (D.D.C.). On August 14, 2013, the SEC announced it filed a settled fraud action against Anchor Bancorp Wisconsin and its former CFO Dale Ringgenberg. The SEC alleges … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, SEC, Securities Act, Securities Exchange Act
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SEC Charges PACCAR Inc. With Hundreds of Accounting Deficiencies
SEC v. PACCAR INC. and PACCAR Financial Corp, Case No. 2:13-cv-00953 (W.D. Wa.). On June 3, 2013, the SEC announced it charged commercial truck manufacturer PACCAR, Inc. and a subsidiary, PACCAR Financial Corp. with hundreds of accounting deficiencies that lead … Continue reading
SEC Charges China-based Executives Dejun “David” Zou and Jianping “Amy” Qiu with Stealing Money and Overstating Revenues
SEC v. RINO International Corporation, et al., Case No. 1:13-cv-00711 (D.D.C). On May 15, 2013, the SEC announced it filed fraud charges against China-based RINO, Corp., its former CEO, Dejun “David” Zou, and its chairman of the board, Jianping “Amy” … Continue reading
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Tagged Books and Records, Fraud, SEC, Securities Act, Securities Exchange Act
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SEC Charges Chinese Company Keyuan Petrochemicals with Fraud
SEC v. Keyuan Petrochemicals, Inc. and Aichun Li, Case No. 1:13-cv-00263 (D.D.C.). On February 28, 2013, the SEC announced fraud charges against Keyuan Petrochemicals, Inc., a Chinese issuer formed through a reverse merger in April 2010. The SEC also charged the Company’s … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, Internal Controls, SEC, Securities Act, Securities Exchange Act
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SEC Charges Volt Information Sciences, Debra Hobbs and Jack Egan With Securities Fraud
SEC v. Jack J. Egan, Jr., Case No. 13-CV-236 (S.D.N.Y.); SEC v. Volt Information Sciences, Inc. and Debra L. Hobbs, Case No. 13-CV-237 (S.D.N.Y.). On January 10, 2013, the SEC filed enforcement actions alleging securities fraud against Volt Information Sciences, … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, Internal Controls, SEC, Securities Act, Securities Exchange Act
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Securities Enforcement Blog 