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- 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
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Tag Archives: Fraud
SEC Charges Bank Executives Ted Awerkamp and Michael McGrath with Fraud
SEC v. Mercantile Bancorp, Inc. et al., Case No. 3:13-cv-03341-RM-BGC (C.D. Ill.). On September 24, 2013, the SEC announced charges against Mercantile Bancorp, its former CEO Ted Awerkamp, and its former CFO Michael McGrath for failing to notice in the … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, SEC, Securities Act, Securities Exchange Act
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SEC Charges Larry Polhill with Investment Fraud
SEC v. Larry R. Polhill, Case No. EDCV13-1729 MRP (SPx) (C.D. Cal.). On September 24, 2013, the SEC announced charges against Larry Polhill for allegedly defrauding hundreds of investors who bought promissory notes believing they were secured by collateral. According … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges 10 Brokers in Connection with the McGinn Smith Ponzi Scheme
In the Matter of Donald J. Anthony, Jr. et al., Admin Proc. No. 3-15514. On September 23, 2013, the SEC announced charges against 10 former brokers for their roles in a $125 million investment scheme. In 2010, the SEC filed … Continue reading
Posted in Securities
Tagged Fraud, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
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SEC Charges Frank Spinosa and TD Bank for their Role in Rothstein Ponzi Scheme
SEC v. Frank Spinosa, Case No. 0:13-cv-62066 (S.D. Fla.); In the Matter of TD Bank, N.A., Admin Proc. No. 3-15512. On September 23, 2013, the SEC announced fraud charges against TD Bank and former executive Frank Spinosa for their roles in … Continue reading
Posted in Securities
Tagged Fraud, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
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SEC Charges Stephen Kirkland and his Company The Kirkland Organization with Securities Fraud for Misleading Investors About the Returns on their Investments
SEC v. Stephen L. Kirkland and The Kirkland Organization, Inc., Case No. 1:13-cv-3150-JEC (N.D. Ga.). On September 23, 2013, the SEC announced fraud charges against Stephen L. Kirkland and his company The Kirkland Organization, Inc. (“TKO”). According to the SEC, … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Charges Benjamin S. Staples and his Son Benjamin O. Staples with Profiting from Terminally Ill Patients
SEC v. Benjamin S. Staples and Benjamin O. Staples, Case No. 3:13-2575-MBS. On September 20, 2013, the SEC announced fraud charges against Benjamin S. Staples and Benjamin O. Staples. The SEC alleges that the Stapleses lured terminally ill people into … Continue reading
SEC Charges Money Manager Frederick Scott with Defrauding Investors
SEC v. Frederick D. Scott, Case No. CV 13-5113 (E.D.N.Y.). On September 13, 2013, the SEC announced fraud charges against Fredrick D. Scott whose firm ACI Capital Group was registered as an investment adviser. In a parallel criminal action, the … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Obtains Emergency Relief against Investment Adviser Paul Marshall for Misappropriating Client Funds
SEC v. Paul Marshall, Bridge Securities, LLC a/k/a Bridge Financial, Bridge Equity, Inc. and FOGFuels, Inc., Case No. 1:13-CV-3032 (N.D. Ga.). On September 12, 2013, the SEC announced it filed an action seeking a temporary restraining order and other emergency … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Files Settled Action against Brian Elrod and Nova Dean Pack in Fraudulent Promissory Note Offering
SEC v. Brian G. Elrod and Nova Dean Pack, Case No. 13-CV-02449WYD (D. Colo.). On September 9, 2013, the SEC announced it filed settled fraud charges against Brian G. Elrod in connection with a promissory note offering for which Nova … Continue reading
SEC Charges Brandt A. Lawler, Michael S. Lawler, Ryan G. Lawler, Timothy J. Lawler, and Pamela Hass in Offering Fraud
SEC v. Projaris Management, LLC et al., Case No. 1:13-cv-00849 (D.N.M.). On September 9, 2013, the SEC announced fraud charges against Projaris Management, LLC, Victory Partners Financial, Joe G. Lawler, Brandt A. Lawler, Michael S. Lawler, Ryan G. Lawler, Timothy … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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Securities Enforcement Blog 