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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: Hedge Fund
SEC Charges Sam Miri with Insider Trading in Connection with the Galleon Trading Scheme
SEC v. Sam Miri, Case No. 13-cv-8324 (S.D.N.Y.). On November 21, 2013, the SEC announced insider trading charges against Sam Miri, a former employee at Marvell Technology group for tipping inside information used in connection with Raj Rajaratnam’s insider trading … Continue reading
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Tagged Hedge Fund, Insider Trading, SEC, Securities Exchange Act
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SEC Charges Mark Megalli with Insider Trading
SEC v. Mark Megalli, (N.D. Ga.). On November 14, 2013, the SEC announced it filed insider trading charges against Mark Megalli for trading on nonpublic information about clothing company Carter’s Inc. According to the SEC, Megalli got inside information through a … Continue reading
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Tagged Fraud, Hedge Fund, Insider Trading, SEC, Securities Act, Securities Exchange Act
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Level Global Settles SEC Insider Trading Case for $21.5 Million
SEC v. Adondakis et al., Case No. 12 Civ. 0409 HB (S.D.N.Y). On April 30, 2013, the SEC announced it settled insider trading charges against Level Global Investors LP. In January 2012, the SEC filed insider trading charges against Level … Continue reading
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Tagged Hedge Fund, illegal trades, Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Charges Medical Device Company Employee for Illegally Tipping His Brother
SEC v. Tai Nguyen and Thanhha Bao, Case No. 12-cv-5009 (GBD) (S.D.N.Y.). On April 8, 2013, the SEC announced an enforcement action against ThanhHa Bao, who worked in the finance department at Abaxis Inc. The SEC alleges that Bao routinely … Continue reading
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Tagged Hedge Fund, Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Settles S.A.C. Capital Insider Trading Case for $600 Million
SEC v. CR Intrinsic Investors, LLC et al., Case No. 12 Civ. 8466 VM (S.D.N.Y.). On March 18, 2013, the SEC announced it settled insider trading charges against CR Intrinsic Investors, an affiliate of S.A.C. Capital for more than $600 … Continue reading
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Tagged Hedge Fund, Insider Trading, SEC, Securities Exchange Act
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SEC Obtains Asset Freeze Against Investment Adviser Gregg Caplitz Charged with Stealing Client Money
SEC v. Gregg D. Caplitz, et al., Case No. 1:13-cv-10612 MLW (D. Mass.). On March 18, 2013, the SEC announced it obtained an asset freeze against investment adviser Gregg D. Caplitz. The SEC alleges that Caplitz and Insight Onsite Strategic … Continue reading
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Tagged Fraud, Hedge Fund, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Charges Hedge Fund Adviser Randall Hansen with Fraud
SEC v. Randal Kent Hansen, et al., Case No. 13-cv-01403 (S.D.N.Y.). On March 4, 2013, the SEC announced fraud charges related to two hedge funds — RAHFCO Funds LP and RAHFCO Growth Fund LP (the “RAHFCO Hedge Funds”). The SEC charged RAHFCO Management Group, … Continue reading
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Tagged Broker-Dealer, Fraud, Hedge Fund, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Charges Hedge Fund Managers David Bryson and Bart Gutekunst with Fraud
SEC v. New Stream Capital, LLC, New Stream Capital (Cayman), Ltd., David A. Bryson, Bart C. Gutekunst, Richard Pereira, and Tara Bryson, et al., Case No. 3:13-cv-00264 (D. Conn.). On February 26, 2013, the SEC announced fraud charges against hedge … Continue reading
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Tagged Fraud, Hedge Fund, Investment Advisers Act, Securities Act, Securities Exchange Act
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SEC Settles Cherry-Picking Case against Hedge Fund Manager Howard Berger
SEC v. Howard Brett Berger and Michelle Berger, Case No. CV-12-4728 (E.D.N.Y.). On February 12, 2013, the SEC announced it settled an enforcement action brought in September 2012. The SEC alleged Howard Berger (“Berger”) was a founder and manager of … Continue reading
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Tagged Hedge Fund, Investment Advisers Act, SEC, Securities Exchange Act
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SEC Obtains Asset Freeze and Appointment of Receiver In Fraud Case Against Hedge Fund Adviser Hochfeld Capital Management And Its Principal Berton Hochfeld
SEC v. Berton Hochfeld et al., Case No. 12-cv-8202 (S.D.N.Y.). On November 26, 2012, the SEC announced it obtained a consent judgment in its case against Berton M. Hochfeld and Hochfeld Capital Management, L.L.C., ordering injunctions, asset freezes, the appointment of a … Continue reading
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Tagged Fraud, Hedge Fund, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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Securities Enforcement Blog 