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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 Obtains Order requiring Linda Harris, Chance Harris, CDH Forex Investments, LLC, and CDH Global Holdings, LLC, to Pay More than $5.4 Million in Forex Fraud.
CFTC v. CDH Forex Investments, LLC et al., Case No. 3:11 cv-02862-F (N.D. Tex.). On June 12, 2012, the CFTC obtained a federal court order requiring Linda Harris, Chance Harris, and their companies, CDH Forex Investments, LLC and CDH Global Holdings to pay more … Continue reading
Illinois Federal Court Orders Richard C. Regan and Pro Trading Course, LLC to Pay $600,000 Restitution and Civil Monetary Penalties
CFTC v. Richard Regan et al., Case No. 1:11-cv-08679 (N.D. Il.). On June 14, 2012, the CFTC announced an order of default judgment and permanent injunction against Richard C. Regan and Pro Trading Course, LLC (“PTC”) of La Jolla, CA. The … Continue reading
CFTC Charges Jose S. Rubio in $1.8 Million Commodity Pool Fraud
CFTC v. Jose Rubio et al., Case No. 1:12-cv-22128 (S.D. Ga.). On June 7, 2012, the CFTC filed an enforcement action against Jose S. Rubio and Rubio Wealth Management, LLC (RWM) alleging they violated the Commodity Exchange Act by defrauding investors … Continue reading
CFTC Charges Ronnie Gene Wilson and His Company Charged With Operating a $90 Million Ponzi Scheme
CFTC v. Atlantic Bullion & Coin, Inc. and Ronnie Gene Wilson, Case No. 8:12-1503-JMC (D.S.C.). The CFTC filed a federal civil enforcement action against Ronnie Gene Wilson and Atlantic Bullion & Coin, Inc. (“AB&C”), charging them with with operating a $90 … Continue reading
SEC Charges Richard DeMaria in $4 million Prime Bank Scheme
SEC v. Richard DeMaria, Case No. 1:12-cv-04145 (N.D. Ill.). On May 30, 2012, the SEC charged Chicago-area resident Richard DeMaria with fraud, alleging that he operated a prime bank scheme that defrauded at least thirteen investors out of approximately $4.3 million. … Continue reading
SEC Obtains Emergency Relief Against Jason Konior in $11 Million Fraud
SEC v. Jason Konior, Absolute Fund Advisors, LLC, and Absolute Fund Management, LLC, Case No. 1:12-cv-04145-LLS (S.D.N.Y.). On May 24, 2012, the SEC obtained a preliminary injunction, asset freeze, and an order for a verified accounting against Jason Konior and his affiliated … Continue reading
SEC Charges George Levin and Frank Preve in $157 million Ponzi Scheme
SEC v. George G. Levin and Frank J. Preve, Case No. 1:12-cv-21917-UU (S.D. Fl.). On May 22, 2012, the SEC charged Levin and Preve, who provided the biggest influx of funds into one of the largest-ever Ponzi schemes in South Florida. From … Continue reading
Posted in Securities
Tagged Fraud, Ponzi Scheme, SEC, Securities Exchange Act, Unregistered Securities Transactions
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SEC and U.S. Attorney Charge Multiple Company Officers and Penny Stock Promoters in Kickback and Manipulation Schemes
SEC v. Yan K. Skwara and US Farms, Inc., Case No. 0:12-cv-61078-JAL (S.D. Fl.); SEC v. Douglas D. Hague and Clean Coal Technologies, Inc., Case No. 0:12-cv-61076-WJZ (S.D. Fl.); SEC v. Joseph J. Repko, Michael M. Cimino, and Sure Trace … Continue reading
Posted in Securities
Tagged Fraud, Market Manipulation, Penny Stock, SEC, Securities Act, Securities Exchange Act
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Oppenheimerfunds Agrees to Pay $35 Million to Settle SEC Charges for Misleading Statements During Financial Crisis
In the Matter of Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc., AP File No. 3-14909. On June 6, 2012, the SEC issued an Order Instituting Cease-And-Desist Proceedings against Oppenheimerfunds, Inc. (“OFI”) and Oppenheimerfunds Distributor, Inc. (“OFDI”) for making misleading statements about … Continue reading
Posted in Securities
Tagged Fraud, Investmeant Company Act, Investment Advisers Act, SEC, Securities Act
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SEC Charges Walter Clarke and Investment Firm With Fraud
In the Matter of Oxford Investment Partners, LLC and Walter J. Clarke, AP File No. 3-14899. On May 30, 2012, the SEC issued an Order Instituting Cease-And-Desist Proceedings against Phoenix-based investment adviser Walter Clarke for concealing his personal stake in … Continue reading
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