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Tag Archives: Books and Records
SEC Charges Dayl W. Pearson, Michael I. Wirth, and R. Jonathan Corless For Overvaluing Assets During The Financial Crisis
In the Matter of KCAP Financial Inc., Dayl W. Pearson, Michael I. Wirth, CPA and R. Jonathan Corless, Admin. Proc. No. 3-15109. On November 28, 2012, the SEC announced the filing of a settled Administrative Order finding that KCAP Financial … Continue reading
SEC Charges Joseph Pacificio with Financial Fraud
SEC v. Joseph Pacifico, Case No. 1:12-cv-03636 (N.D. Ga.). On October 18, 2012, the SEC announced charges against Joseph Pacifico, a former President of Carter’s, Inc., marketer of children’s clothing, for engaging in financial fraud at Carter’s. Carter’s Executive Vice … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, SEC, Securities Act, Securities Exchange Act
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SEC Files Fraud Charges Against Bank Executives For Misstating Losses
SEC v. Gilbert G. Lundstrom et al., Case No. 8:12-cv-00343 (D. Neb.); SEC v. Don A. Langford, Case No. 8:12-cv-00344 (D. Neb.). On September 25, 2012, the SEC announced fraud charges against Gilbert Lundstrom, who was CEO and chairman of … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, Insider Trading, Internal Controls, SEC, Securities Exchange Act
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Tyco International, Ltd. To Pay $26 Million to Settle Foreign Corrupt Practices Act Violations
SEC v. Tyco, International Ltd., Case No. 1:12-cv-01583 (D.D.C.). On September 24, 2012, the SEC announced the filing of a settled FCPA case against Tyco. In 2006, the SEC filed a settled FCPA action against Tyco in which the company … Continue reading
SEC Obtains Asset Freeze and Temporary Restraining Order Against Michael Borish and Michael Ciarlone
SEC v. Freedom Environmental Services, Inc., et al., Case No.: 6:12-CV-1415-ORL-28-DAB (M.D. Fl.). On September 17, 2012, the SEC announced it had obtained a temporary restraining order, asset freeze and appointment of a receiver to preserve assets. The SEC charged Michael … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, Internal Controls, SEC, Securities Act, Securities Exchange Act
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SEC Charges Yan-qing Liu With Fraud For Bolstering Financial Results With Fake Sales
SEC v. China Sky One Medical, Inc. and Yan-qing Liu, Case No. CV12-7543 MWF (MANx) (C.D. Cal.). On September 4, 2012, the SEC charged China-based China Sky One Medical, Inc. (“CSKI”) and its CEO and chairman Yan-qing Liu with fraud. CSKI claimed in public … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, Internal Controls, SEC, Securities Act, Securities Exchange Act
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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 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 Charges Chicago-Based Huron Consulting Group and Two Former Executives With Accounting Violations
In the Matter of Huron Consulting Group, Inc., Gary L. Burge, CPA, and Wayne E. Lipski, CPA, Admin. Proc. No. 3-14958. On July 19, 2012, the SEC issued an administrative order finding that Huron Consulting Group Inc., a provider of … Continue reading
Posted in Securities
Tagged Books and Records, Internal Controls, SEC, Securities Exchange Act
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Securities Enforcement Blog 