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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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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
Posted in Securities
Tagged Broker-Dealer, Fraud, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
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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
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
Posted in Securities
Tagged Broker-Dealer, Fraud, SEC, Securities Act, Securities Exchange Act
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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
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
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
Posted in Securities
Tagged Broker-Dealer, Fraud, SEC, Securities Act, Securities Exchange Act
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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
Posted in Securities
Tagged Broker-Dealer, Fraud, SEC, Securities Act, Securities Exchange Act
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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
Posted in Securities
Tagged Broker-Dealer, Fraud, Hedge Fund, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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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
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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