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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 Gets Emergency Relief Prime Bank Scheme
SEC v. Bernard H. Butts, et al., Case No. 13-23115-CIV-MARTINEZ (S.D. Fla.). On September 9, 2013, the SEC announced that it has obtained an emergency asset freeze and temporary restraining order in connection with a prime bank investment scheme. According to … Continue reading
SEC Charges Former JPMorgan Traders Javier Martin-Artajo and Julien Grout with Fraud
SEC v. Javier Martin-Artajo and Julien G. Grout, Case No. 13-cv-5677 (S.D.N.Y.). On August 14, 2013, the SEC announced fraud charges against Traders Javier Martin-Artajo and Julien Grout, former traders at JPMorgan Chase & Co. In a parallel action, the … Continue reading
CFTC Charges Worth Group, Inc., Andrew Wilshire and Eugenia Mildner in Alleged Precious Metal Scheme
CFTC v. Worth Group, Inc., Andrew Wilshire, and Eugenia Mildner, Case No. 9:13-cv-80796 (S.D. Fla.). On August 13, 2013, the CFTC announced fraud charges against Worth Group Inc., its owner, Andrew Wilshire, and its director, Eugenia Mildner. According to the … Continue reading
SEC Files Settled Fraud Action against CFO Dale Ringgenberg and Anchor Bancorp Wisconsin
SEC v. Anchor Bancorp Wisconsin, Inc. and Dale C. Ringgenberg, Case No. 1:13-cv-01241 (D.D.C.). On August 14, 2013, the SEC announced it filed a settled fraud action against Anchor Bancorp Wisconsin and its former CFO Dale Ringgenberg. The SEC alleges … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, SEC, Securities Act, Securities Exchange Act
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SEC Obtains Emergency Relief against Anthony Davian and His Asset Management Firm
SEC v. Anthony J. Davian and Davian Capital Advisors, LLC, Case No. 5:13-cv-1762 (N.D. Ohio.). On August 14, 2013, the SEC announced it obtained a temporary restraining order and asset freeze against Anthony Davian and his asset management firm for … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Obtains Emergency Asset Freeze against Steven Heinz
SEC v. Steven B. Heinz, et al., Case No. 2:13-cv-00753 (D. Utah). On August 8, 2013, the SEC announced it obtained a temporary restraining order and emergency asset freeze against Steven B. Heinz and his company S.B. Heinz and Associates, … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
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SEC Charges Bank of America with Fraud in Connection with Offering of Mortgage-Backed Securities
SEC v. Bank of America et al., Case No. 3:13-cv-447 AVC (W.D.N.C.). On August 6, 2013, the SEC announced fraud charges against Bank of America and two subsidiaries related to an offering of residential mortgage-backed securities (“RMBS”). According to the … Continue reading
SEC Charges Cort Poyner and Mohammad Dolah with Market Manipulation
SEC v. Cort Poyner and Mohammad Dolah, Case No. CV 13-4331 (E.D.N.Y). On August 6, 2013, the SEC announced fraud charges against Cort Poyner and Mohammad Dolah in connection with an alleged bribery scheme designed to manipulate the market for … Continue reading
Posted in Securities
Tagged Fraud, Market Manipulation, SEC, Securities Act, Securities Exchange Act
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SEC Charges John Rizzo with Running A Boiler Room Scheme
SEC v. John G. Rizzo, Case No. 3:13-cv-01801 MMA BLM (C.D. Cal.). On August 6, 2013, the SEC announced fraud charges against John G. Rizzo, the former CEO of iTrackr Systems Inc. The SEC alleges that Rizzo used escrow agents … Continue reading
SEC Prevails at Securities Fraud Trial Against Former Goldman Vice President Fabrice Tourre
Yesterday, the jury reached a much-anticipated verdict in the SEC’s case against Fabrice Tourre. The details are here.
Securities Enforcement Blog 