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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
SEC Charges Bradley Holcom and Jose Pinedo in $42 Million Fraud Targeting Senior Citizens
SEC v. Bradley A. Holcom, Case No. 3:12-cv-01623 (S.D. Cal.); SEC v. Jose L. Pinedo, Case No. 3:12-cv-01620 (S.D. Cal.). On September 27, 2012, the SEC announced fraud charges against Bradley Holcom and Jose Pinedo. Holcom was behind an unregistered … Continue reading
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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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
Posted in Securities
Tagged Broker-Dealer, Forex, Fraud, Penny Stock, SEC, Securities Act, Securities Exchange Act
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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
Posted in Securities
Tagged Broker-Dealer, Fraud, Registered Representative, SEC, Securities Act, Securities Exchange Act
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SEC Charges Rondald Wheet and Revolutions Medical Corp. For False Statements About The Company’s Medical Safety Syringe
SEC v. Revolutions Medical Corp. and Rondald L. Wheet, Case No. 1:12-cv-03298-TCB (N.D. Ga.). On September 21, 2012, the SEC announced charges against Revolutions Medical Corp. (“Revolutions Medical”) and its CEO, Rondald L. Wheet (“Wheet”). The case concerns Revolutions Medical’s … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, SEC, Securities Act, Securities Exchange Act
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SEC Charges Hedge Fund Manager Yusaf Jawed in $37 Million Ponzi Scheme
SEC v. Yusaf Jawed, Grifphon Asset Management, LLC, et al; Case No. 12-1696 (D. Ore.); SEC v. Jacques Nichols, Case No. 12-1698 (D. Ore.); SEC v. Lyman Bruhn, et al., Case No. 12-1697 (D. Ore.). On September 21, 2012, the SEC … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
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U.S. Indicts Former Sunwest Assisted-living Center CEO Jon Harder on Fraud Charges
When I was trial counsel with the SEC, I led the fraud case against Sunwest and its CEO Jon Harder. Three-and-one-half years later, the U.S. Attorney has obtained a 56-count indictment against Harder alleging he defrauded more than 1,000 investors out … Continue reading
SEC Charges H. Thomas Davis, Jr., Kenneth Wrangell and Mark Badgett With Insider Trading
On September 20, 2012, the SEC brought three separate insider trading cases related to an illegal tip about an impending merger. The SEC alleges that H. Thomas Davis, Jr., breached his fiduciary duty to Mercer Insurance Group by passing on … Continue reading
SEC Freezes Assets of Waldyr De Silva Prado Neto in Connection with Insider Trading of Burger King Stock
SEC v. Waldyr De Silva Prado Neto, Case No. 12 CIV 7094 (S.D.N.Y.). On September 20, 2012, the SEC announced it obtained an emergency court order to freeze the assets of a stockbroker who used nonpublic information from a customer … Continue reading
SEC Charges Hedge Fund Manager Angelo Alleca With Running a Ponzi-Like Scheme
SEC v. Angelo A. Alleca, et al., Case No. 1:12-cv-03261-WSD (N.D. Ga.). On September 19, 2012, the SEC announced fraud charges against hedge fund manager Angelo A. Alleca and his investment advisory firm, Summit Wealth Management, Inc. and three funds he operated … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
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Securities Enforcement Blog 