Tag Archives: Broker-Dealer

SEC Obtains Emergency Relief against Robert Helms and Janniece Kaelin in Alleged Ponzi Scheme

SEC v. Robert A. Helms, et al., Case No. 1:13-cv-01036-LY (W.D. Tex.).  On December 6, 2013, the SEC announced it obtained an asset freeze and other emergency relief in an alleged Ponzi scheme.  According to the SEC, Robert A. Helms … Continue reading

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SEC Charges Michael Enea with Operating a Ponzi Scheme

SEC v. Michael R. Enea, Case No. 2:13-cv-01151 (E.D. Wis.).  On October 11, 2013, the SEC announced fraud charges against Michael R. Enea.  According to the SEC, Enea ran a Ponzi scheme from 2006 to 2013 in which he sold … Continue reading

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SEC Charges Brett Cooper in Prime Investment Fraud and Also Sues Attorney David Frederickson Who Served as Escrow Agent

Securities and Exchange Commission v. Brett A. Cooper, Global Funding Systems LLC, Dream Holdings, LLC, Fortitude Investing, LLC, Peninsula Waterfront Development, LP, and REOP Group Inc., Case No. 1:13-cv-05781-RMB-AMD (D.N.J.); SEC v. David H. Frederickson and The Law Offices of … Continue reading

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SEC Charges Jenny Coplan in Affinity Fraud and Ponzi Scheme

SEC v. Jenny E. Coplan, Case No. 1:13-cv-62127 (S.D. Fla.).  On September 30, 2013, the SEC announced charges against Jenny E. Coplan for allegedly conducting a Ponzi scheme and affinity fraud that targeted the Colombian-American community.  According to the SEC, … Continue reading

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SEC Files Settled Action against Brian Elrod and Nova Dean Pack in Fraudulent Promissory Note Offering

SEC v. Brian G. Elrod and Nova Dean Pack, Case No. 13-CV-02449WYD (D. Colo.).  On September 9, 2013, the SEC announced it filed settled fraud charges against Brian G. Elrod in connection with a promissory note offering for which Nova … Continue reading

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SEC Charges Traders in Illegal Kickback Scheme

SEC v. Thomas Alberto Clarke Bethancourt et al, Case No. 13-cv-3074 (S.D.N.Y).  On May 6, 2013, the SEC announced it filed fraud charges against Tomas Alberto Clarke Bethancourt, Iuri Rodolfo Bethancourt, Jose Alejandro Hurtado, and Haydee Leticia Pabon.  The SEC … Continue reading

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SEC Charges David Miller in Unauthorized Trading Scheme

SEC v. David Miller, Case No. 3:13-cv-00522 (D. Conn.).  On April 15, 2013, the SEC announced it filed a partially settled enforcement action against David Miller, a former trader with Rochdale Securities LLC.  The SEC alleges that Miller received an … Continue reading

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SEC Charges Hedge Fund Adviser Randall Hansen with Fraud

SEC v. Randal Kent Hansen, et al., Case No. 13-cv-01403 (S.D.N.Y.).  On March 4, 2013, the SEC announced fraud charges related to two hedge funds — RAHFCO Funds LP and RAHFCO Growth Fund LP (the “RAHFCO Hedge Funds”).  The SEC charged RAHFCO Management Group, … Continue reading

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SEC Charges Richard and Susan Olive with Defrauding Senior Citizens Investing in Charity

SEC v. Richard and Susan Olive, Case No. 2:13-cv-14047 (S. D. Fl.); SEC v. We the People, Inc. of the United States, Case No. 2:13-cv-14050 (S. D. Fl.); SEC v. William G. Reeves, Esq., Case No. 2:13-cv-14048 (S. D. Fl.).  … Continue reading

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SEC Charges Five Cay Clubs Resorts and Marinas Executives in $300 Million Ponzi Scheme

SEC v. Barry J. Graham, Fred Davis Clark, Jr., a/k/a Dave Clark, Cristal R. Coleman, a/k/a Cristal Clark, David W. Schwarz, Ricky Lynn Stokes, Case No. 4:13-cv-10011 (S. D. Fl.).  On January 30, 2013, the SEC announced fraud charges against … Continue reading

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