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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 Georgia Accountant and Several Others with Insider Trading
SEC v. Melvin, Case No. 1:12-cv-02984 (N.D. Ga.); SEC v. Berry, Case No. 1:12-cv-02985 (N.D. Ga.); SEC v. Coots, Case No. 1:12-cv-02986 (N.D. Ga.); SEC v. Jackson, Case No. 1:12-cv-02987 (N.D. Ga. Filed Aug. 28, 2012); SEC v. Rooks, Case … Continue reading
Hedge Fund Manager James F. Turner And His Firm Ordered to Disgorge $2 Million In Profits From Insider Trading
Securities and Exchange Commission v. Clay Capital Management, LLC, et al., Case No. 2:11-cv-05020-DMC-JAD (D.N.J.). On August 29, 2012, the SEC announced it obtained final judgments against Clay Capital Management, LLC and its former Chief Investment Officer, James F. Turner II, … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Charges Investment Adviser Anthony K. Welch With Fraud
SEC v. Anthony K. Welch, Case No. 1:12-cv-3034 (N.D. Ga.). On August 31, 2012, the SEC charged former investment adviser Anthony Welch with fraud. Welch issued a press releases and made other public statements that had false and misleading information … Continue reading
Posted in Securities
Tagged Fraud, Market Manipulation, Penny Stock, SEC, Securities Exchange Act
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SEC Charges Brokers Fabrizio Neves and Jose Luna for Defrauding Brazilian Public Pension Funds
Securities and Exchange Commission v. Fabrizio Neves, et al., Case No. 1:12-cv-23131 (S.D. Fla.). On August 29, the SEC filed fraud charges against former Miami brokers Fabrizio Neves and Jose Luna. Neves and Luna were involved in a scheme to … Continue reading
SEC Files Fraud Action Robert L. Kelly and Wwebnet, Inc.
Securities and Exchange Commission v. Wwebnet, Inc. and Robert L. Kelly, Case No. 12-CV-6581 (S.D.N.Y.). On August 28, the SEC announced fraud charges against Wwebnet, Inc. and its CEO Robert Kelly. Kelly solicited investments from investors to purchase stock issued … Continue reading
SEC Files Settled Fraud Action Against Hedge Fund Manager Gary R. Marks
Securities and Exchange Commission v. Gary R. Marks, CV-12-4486-JSC (N.D. Cal.). On August 27, the SEC announced it had filed a settled action against Gary R. Marks. Marks managed various fund of funds hedge funds through Sky Bell Asset Management, … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, Investment Advisers Act, SEC, Securities Act
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SEC Obtains Final Judgment Requiring Jeffrey Mowen to Pay More Than $18 Million
SEC v. Jeffrey L. Mowen, et al., Case No. 2:09-cv-00786-DB/PMW (D. Utah). On August 27, the SEC announced it obtained a final judgment against Jeffrey L. Mowen, ordering Mowen to disgorge $8,041,779 and $1,964,203.67 in prejudgment interest. The Court also … Continue reading
SEC Files Action Against Paul Burks and ZeekRewards.com to Halt $600 Million Ponzi Scheme
SEC v. Rex Venture Group LLC et al., Case No. 3:12-CV-519 (W.D. N. Carolina). It seems as though we are reading about a new Ponzi scheme almost every day. On August 22, the SEC announced it filed a settled action … Continue reading
SEC Charges Ricardo Rojas in $7 Million Ponzi Scheme Targeting Evangelical Christians
SEC v. Ricardo Bonilla Rojas and Shadai Yire, Inc., Case No. 12-cv-1681 (D.P.R.). On August 21, the SEC announced fraud charges against Ricardo Rojas and his firm Shadai Yire. Rojas and his sales agents solicited investors claiming the investments were a risk-free … Continue reading
SEC Charges College Football Hall of Fame Coach James M. Donnan, III, and Gregory L. Crabtree in $80 Million Ponzi Scheme
Securities and Exchange Commission v. James M. Donnan, III, et al., Case No. 1:12-CV-02831-ODE (N.D. Ga.). On August 17, 2012, the SEC announced fraud charges against College Football Hall of Fame coach and ESPN sports commentator James Donnan and Gregory … Continue reading
Securities Enforcement Blog 