Tag Archives: Broker-Dealer

SEC Brings Financial Crisis-Related Case against Jesse Litvak for Selling Mortgage-Backed Securities

SEC v. Jesse C. Litvak, Case No. 3:13-cv-00132 (D. Conn.). On January 28, 2013, the SEC announced fraud charges against Jesse Litvak, a former executive at broker-dealer Jeffries & Co.  The SEC alleges that Litvak arranged trades for customers as … Continue reading

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SEC Files Settled Insider Trading Case Against Eric Rogers

SEC v. Eric D. Rogers, Case No. 13-CV-0374 (S.D.N.Y.).  On January 17, 2013, the SEC announced it filed a settled insider trading case against Eric D. Rogers.  Rogers used to be a trader for Spectrum Trading, LLC, a registered broker-dealer.  … Continue reading

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SEC Settles With Four Brokerage Firms For Registration Violations

In the Matter of Ambit Capital Pvt. Ltd., Admin. Proc. No. 3-15105; In the Matter of Motilal Oswal Securities Limited, Admin. Proc. No. 3-15106; In the Matter of JM Financial Institutional Securities Private Limited, Admin. Proc. No. 3-15107; In the … Continue reading

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SEC Settles With Aamer Abdullah Considering His Cooperation Under The SEC’s Enforcement Cooperation Initiative

SEC v. Aamer Abdullah, Case No. 10-cv-4957 (S.D.N.Y.).  On November 9, 2012, the SEC announced a settlement with Aamer Abdullah in a case brought in June 2010.  Abdullah was a portfolio manager with ICP Asset Management, LLC.  According to the … Continue reading

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SEC Charges James Mulholland, Jr. and Thomas Mulholland in Real Estate Offering Fraud

SEC v. James C. Mulholland, Jr. and Thomas Mulholland, Case No. 12-cv-14663 (E.D. Mich.).  On October 23, 2012, the SEC announced fraud charges against James Mulholland, Jr. and his brother Thomas Mulholland.  The case concerns the Mulhollands’ real estate business … Continue reading

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SEC Charges Geoffrey Lunn, Darlene Bishop and Vincent Curry in $5.77 Million Investment Scheme

Securities and Exchange Commission v. Geoffrey H. Lunn, Darlene A. Bishop and Vincent G. Curry, Case No. 12-cv-02767 (D. Colo.).  On October 18 2012, the SEC announced charges against Geoffrey H. Lunn, Darlene A. Bishop and Vincent G. Curry for … Continue reading

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SEC Charges Four Individuals In $1.7 Million Investment Scam

SEC v. Rudolf D. Pameijer, et al., Case No. 1:12-CV-01364 (S.D. In.).  On September 24, 2012, the SEC announced fraud charges against Rudolf D. Pameijer, Lindsay R. Sayer, Ryan W. Koester and his entity Rykoworks Capital Group, LLC.  Koester claimed to be an … Continue reading

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SEC Charges Registered Representative David Rothman Stealing Investor Funds

SEC v. David L. Rothman, Case No. 12-cv-5412-BMS (E.D. Pa.).  On September 24, 2012, the SEC announced fraud charges against David Rothman, a registered representative and minority owner of Rothman Securities, Inc., a broker-dealer registered with the SEC.  For several years Rothman provided … Continue reading

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