Tag Archives: Fraud

SEC Charges Yin Nan Wang and Wendy Ko in Real Estate Scheme and Obtains Emergency Asset Freeze

SEC v. Yin Nan “Michael” Wang, Wendy Ko, et al., Case No. CV 13-07553 JAK CSSx (C.D. Cal.)  On November 1, 2013, the SEC announced it obtained an emergency asset freeze against Yin Nan (Michael) Wang, Wendy Ko and some … Continue reading

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SEC Charges China-based Yuhe International, Inc. and its CEO Gao Zhentao with Fraud

SEC v. Yuhe International, Inc., and Gao Zhentao, Case No. 1:13-cv-01598-RCL (D.D.C.). On October 18, 2013, the SEC announced fraud charges against Yuhe International, Inc.(“Yuhe”), a China-based provider of broiler chickens, and its Chief Executive Officer, Gao Zhentao (“Gao”).  According … Continue reading

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CFTC Filed Settled Charges against JP Morgan in Connection with the “London Whale” Swaps Trades

In the Matter of JPMorgan Chase Bank, N.A., CFTC Docket No. 14-01.  On October 16, 2013, the CFTC announced it issued a settled Order against JPMorgan Chase Bank, N.A. (“JPMorgan”) in connection with the trading of certain credit default swaps … Continue reading

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SEC Charges Michael Enea with Operating a Ponzi Scheme

SEC v. Michael R. Enea, Case No. 2:13-cv-01151 (E.D. Wis.).  On October 11, 2013, the SEC announced fraud charges against Michael R. Enea.  According to the SEC, Enea ran a Ponzi scheme from 2006 to 2013 in which he sold … Continue reading

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CFTC Charges Lions Wealth Holdings in Alleged Multi-Million Dollar Precious Metals Scheme

CFTC v. Lions Wealth Holdings, Inc. et al, Case No. 2:13-cv-01787 (D. Nev.).  On September 30, 2013, the CFTC announced fraud charges against Lions Wealth Holdings, Inc. and Lions Wealth Services, Inc., both doing business as Lions Wealth Capital (collectively, … Continue reading

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SEC Charges Brett Cooper in Prime Investment Fraud and Also Sues Attorney David Frederickson Who Served as Escrow Agent

Securities and Exchange Commission v. Brett A. Cooper, Global Funding Systems LLC, Dream Holdings, LLC, Fortitude Investing, LLC, Peninsula Waterfront Development, LP, and REOP Group Inc., Case No. 1:13-cv-05781-RMB-AMD (D.N.J.); SEC v. David H. Frederickson and The Law Offices of … Continue reading

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SEC Charges Jenny Coplan in Affinity Fraud and Ponzi Scheme

SEC v. Jenny E. Coplan, Case No. 1:13-cv-62127 (S.D. Fla.).  On September 30, 2013, the SEC announced charges against Jenny E. Coplan for allegedly conducting a Ponzi scheme and affinity fraud that targeted the Colombian-American community.  According to the SEC, … Continue reading

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SEC.gov | SEC Awards More Than $14 Million to Whistleblower

SEC.gov | SEC Awards More Than $14 Million to Whistleblower.

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SEC Charges Peter Kirschner, Stuart Rubens, Advanced Equity Partners and Premiere Consulting with Fraud and Registration Violations

SEC v. Advanced Equity Partners, LLC, Premiere Consulting, LLC, Peter Kirschner and Stuart Rubens, Case No. 3:13-cv-62100 (S.D. Fla.).  On September 26, 2013, the SEC announced fraud charges against Peter Kirschner, a repeat offender, his business partner Stuart Rubens, and … Continue reading

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SEC Charges Game Company CEO Troy Lyndon and Ronald Zaucha with Fraud

SEC v. Troy Lyndon and Ronald Zaucha, Case No. CV13 00486 SOM KSC (D. Haw.).  On September 25, 2013, the SEC announced fraud charges against Troy Lyndon, the founder, CEO and CFO of a religious-themed video game manufacturer and his … Continue reading

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