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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: Fraud
CFTC Orders Robert A. Christy And His Company To Pay $2.6 Million To Settle Forex Fraud
CFTC v. Crabapple Capital Group, LLC and Robert A Christy, Case No. 1:12-cv-1346-RWS (N.D. Ga.). On October 23, 2012, the CFTC announced it obtained a settlement requiring Robert A. Christy and Crabapple Capital Group to pay more than $2.6 million … Continue reading
CFTC Charges Recidivist Christopher Smithers With Fraud
CFTC v. Christopher Smithers., Case No. 9:12-cv-81165-KAM (S.D. Florida.). On October 23, 2012, the CFTC announced fraud charges against Christopher Smithers. The case concerns Smithers’s representations to customers that his commodity futures trading was profitable when in reality he had … Continue reading
CFTC Orders David Kaup And His Companies To Pay More Than $1.89 Million To Settle Fraud Charges
In the Matter of David Kaup, et al., CFTC Docket No. 13-03. On October 23, 2012, the CFTC announced it issued an order settling fraud charges against David Kaup and his companies. Kaup and his companies solicited investments from individuals by claiming … Continue reading
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
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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Hong Kong Firm Ordered To Pay $14 Million to Settle Insider Trading Charges
SEC v. Well Advantage Limited, et al., Case No. 12-cv-5786(S.D.N.Y.). Previously, I’ve blogged here and here about the SEC’s asset freezes obtained in connection with insider trading related to various Chinese companies. On October 18, 2012, the SEC announced that … Continue reading
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
SEC Obtains More Than $3 Million In Accounting Fraud
Securities and Exchange Commission v. Joseph J. Monterosso, et. al., Case No. 07-61693 (S.D. Fla.). On October 18 2012, the SEC announced that it obtained disgorgement, civil penalties, and officer-and-director bars against four remaining defendants in an accounting fraud action … Continue reading
SEC Defendant Arnett Waters Now Faces Criminal Charges in Fraud Scheme
SEC v. A.L. Waters Capital, LLC, et al., Case No. 12-cv-10783-DJC (D. Mass.); U.S. v. Arnett L. Waters, 12-cr-10336-DJC (D. Mass.). On May 1, 2012, the SEC filed charges against Arnett Waters and two of his companies for their roles … Continue reading
SEC’s Aberrational Performance Inquiry Leads To Charges Against Hedge Fund Executives Mark Angelo and Edward Schinik
SEC v. Yorkville Advisors, LLC, et al., Case No. 12-civ-7728 (S.D.N.Y.) The SEC’s Aberrational Performance Inquiry, which is a joint effort among the Division of Enforcement, Office of Compliance, Inspections and Examinations, and the Division of Risk, Strategy and Financial … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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Securities Enforcement Blog 