Contributors
-
Recent Posts
- 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
Archives
Categories
Meta
Other BraunHagey Blogs
-
Tag Archives: Fraud
SEC Freezes Assets of Kevin G. White in Alleged Forex Trading Scam
SEC v. Kevin G. White et al., Case No. 4:13-cv-00383 RAS (E.D. Tex.). On July 12, 2013, the SEC announced it obtained an emergency court order to freeze the assets of Kevin G. White and his companies. The Commodity Futures … Continue reading
Posted in Securities
Tagged CFTC, Forex, Fraud, SEC, Securities Act, Securities Exchange Act
Leave a comment
SEC Charges Medical Imaging Device Company Imaging3 and its Founder Dean Janes with Fraud
SEC v. Imaging3, Inc. & Dean Janes, Case No. CV13-04616 GAF (AJWx) (C.D. Cal.). On June 26, 2013, the SEC announced it filed fraud charges against Imaging3, Inc. and its founder Dean Janes. Janes held a conference call with investors … Continue reading
SEC Charges Robert Hurd and His Company in Investment Scheme Touting Alzheimer’s Treatment
SEC v. Robert Hurd, Your Best Memories International Inc. and Kenneth Gross, Case No. 13-CV-04464-RGK (JCGx) (C.D. Cal.). On June 21, 2013, the SEC announced it filed charges against Your Best Memories International Inc. and its president, Robert Hurd for fraud. … Continue reading
SEC Charges Ernesto Lujan in Connection with Kickback Scheme
SEC v. Bethancourt et al., Case No. 13-cv-3074 (S.D.N.Y.). On June 12, 2013, the SEC announced it filed an amended complaint adding Ernesto Lujan, former head of the Miami office of brokerage firm Direct Access Partners (“DAP”). Last month, the … Continue reading
SEC Charges Investment Adviser Chauncey Mayfield and Others with Stealing Money from the Detroit Police and Firefighters Pension Fund
SEC v. MayfieldGentry Realty Advisors et al., Case No. 2:13-cv-12520 NGE MAR (E.D. Mich.). On June 10, 2013, the SEC announced it filed a complaint against Chauncey C. Mayfield for taking $3.1 million from the Police and Fire Retirement System … Continue reading
SEC Charges Michael Bartoszek and his Penny Stock Company with Fraud and Insider Trading
SEC v. Laidlaw Energy Group, Inc. and Michael B. Bartoszek, Case No. 13-cv-3887 (S.D.N.Y.). On June 5, 2013, the SEC announced charges against Laidlaw Energy Group and its CEO Michael B. Bartoszek. According to the SEC, Bartoszek sold billions of … Continue reading
SEC Charges Mark Morrow and His Firm with Offering Fraud
SEC v. Detroit Memorial Partners, LLC and Mark Morrow, Case No. 1:13-cv-01817 WSD (N.D. Ga.). On June 3, 2013, the SEC announced it charged Detroit Memorial Partners, LLC (“DMP”) and its managing member, Mark Morrow in an offering fraud. The SEC … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
Leave a comment
SEC Charges Attorney Robert A. Gist with Stealing $5.4 Million from Investors
SEC v. Robert A. Gist et al., Case No. 1:13-cv-01833 AT. On May 31, 2013, the SEC announced it charged attorney Robert A. Gist and Gist, Kennedy & Associates, Inc. (“Gist Kennedy”), a company that Gist controls, with defrauding investors … Continue reading
SEC Charges Daniel Bergin with Front Running
SEC v. Daniel Bergin, et al., Case No. 3:13-cv-1940 (D. TX.). On May 24, 2013, the SEC announced it filed an emergency action and obtained an asset freeze against Daniel Bergin, an equity trader at Cushing MLP Asset Management. According … Continue reading
Posted in Securities
Tagged Fraud, Investment Company Act, SEC, Securities Exchange Act
Leave a comment
SEC Charges China-based Executives Dejun “David” Zou and Jianping “Amy” Qiu with Stealing Money and Overstating Revenues
SEC v. RINO International Corporation, et al., Case No. 1:13-cv-00711 (D.D.C). On May 15, 2013, the SEC announced it filed fraud charges against China-based RINO, Corp., its former CEO, Dejun “David” Zou, and its chairman of the board, Jianping “Amy” … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, SEC, Securities Act, Securities Exchange Act
Leave a comment
Securities Enforcement Blog 