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- SEC Obtains Emergency Relief against Robert Helms and Janniece Kaelin in Alleged Ponzi Scheme
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- SEC Settles Insider Trading Case against Charles Langston III
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Tag Archives: Fraud
SEC Charges China-based Sabuye, Inc. and former CFO James T. Crane with Fraud
SEC v. Subaye, Inc. and James T. Crane, Case No. 13-civ-3114 (S.D.N.Y). On May 8, 2013, the SEC announced it filed fraud charges against China-based Subaye, Inc. and its former CFO, James T. Crane. According to the SEC, Subaye purported … Continue reading
SEC Charges Traders in Illegal Kickback Scheme
SEC v. Thomas Alberto Clarke Bethancourt et al, Case No. 13-cv-3074 (S.D.N.Y). On May 6, 2013, the SEC announced it filed fraud charges against Tomas Alberto Clarke Bethancourt, Iuri Rodolfo Bethancourt, Jose Alejandro Hurtado, and Haydee Leticia Pabon. The SEC … Continue reading
Posted in Securities
Tagged Broker-Dealer, Fraud, SEC, Securities Act, Securities Exchange Act
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SEC Charges the City of Harrisburg with Securities Fraud
In the Matter of the City of Harrisburg, Pennsylvania, Admin. Proc. File No. 3-15316. On May 6, 2013, the SEC announced it filed a settled administrative proceeding against the City of Harrisburg. The SEC’s Order finds that Harrisburg is virtually … Continue reading
SEC Sues the City of Victorville, California and Others for Defrauding Municipal Bond Investors
SEC v. City of Victorville et al., Case No. EDCV13-0776 JAK (DIBx). On April 29, 2013, the SEC announced charges against the City of Victorville, Calif., the Southern California Logistics Airport Authority, Kinsell, Newcomb & DeDios (“KND”), Jeffrey Kinsell, Janees … Continue reading
Posted in Securities
Tagged Fraud, municipal bonds, SEC, Securities Act, Securities Exchange Act
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SEC Charges Investment Adviser Umesh Tandon with Defrauding CalPERS
In the Matter of Umesh Tandon, SEC Admin. Proc. No. 3-15282. On April 18, 2013, the SEC announced it filed a settled administrative proceeding against Umesh Tandon. According to the SEC Order, Tandon told CalPERS that his advisery firm Simran … Continue reading
SEC Charges Brokers Jeffrey Stebbins and Corbin Jones with Stealing Investments
SEC v. Jeffrey Stebbins and Corbin Jones, Case No. 2:13-cv-00755 SRB (D. Az.). On April 16, 2013, the SEC announced it filed fraud charges against Jeffrey Stebbins and Corbin Jones. The SEC alleges that Stebbins and Jones solicited investors for … Continue reading
Posted in Securities
Tagged Fraud, Penny Stock, SEC, Securities Act, Securities Exchange Act
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CFTC Settles Fraud Action against Robert Cannone and National Equity Holdings for $3.6 Million
CFTC v. National Equity Holdings, Inc., et al., Case No. SACV 11-1718-JVS (C.D. Cal.). On April 15, 2013, the CFTC announced it settled with Defendants Robert Cannone and National Equity Holdings, Inc. The CFTC alleged that Cannone, by and through … Continue reading
SEC Charges David Miller in Unauthorized Trading Scheme
SEC v. David Miller, Case No. 3:13-cv-00522 (D. Conn.). On April 15, 2013, the SEC announced it filed a partially settled enforcement action against David Miller, a former trader with Rochdale Securities LLC. The SEC alleges that Miller received an … Continue reading
Posted in Securities
Tagged Broker-Dealer, Fraud, SEC, Securities Act, Securities Exchange Act
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CFTC Charges Whileon Chay and 4X Solutions in Forex Ponzi Scheme
CFTC v. 4X Solutions, Inc. and Whileon Chay, Case No. 13-CIV-2287 (S.D.N.Y.). On April 8, 2013, the CFTC announced it filed fraud charges against 4X Solutions, Inc. and its principal, Whileon Chay. The CFTC alleges that Chay and 4X raised $4.8 … Continue reading
SEC Charges Glenn Hoppes and His Companies with Offering Fraud in Connection with Oil Drilling Projects
SEC v. Glenn Hoppes, United States Energy Corp., TN-KY Development Fund LP, TN-KY Development Fund II LP and TN-KY Development Fund III LP, Case No. 8:13-cv-00868-SDM-AEP (M.D. Fl.). On April 8, 2013, the SEC announced an enforcement action against Glenn … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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Securities Enforcement Blog 