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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: Insider Trading
SEC Charges Joseph McVicker With Insider Trading
SEC v. Joseph McVicker, Case No. 1:12-cv-11434 (D. Mass.) On August 3, 2012, the SEC announced insider trading charges against Joseph McVicker. This case involves unlawful insider trading by McVicker in the stock of Art Technology Group, Inc. (“Art Technology”) … Continue reading
SEC Charges Bristol-Myers Squibb Co. Executive Robert Ramnarine With Insider Trading
SEC v. Robert D. Ramnarine, Case No. 2:12-cv-04837-SDW-MCA. On August 2, 2012, the SEC announced insider trading charges against Robert Ramnarine, a high-level executive in the treasury department at Bristol-Myers Squibb Co. After getting material nonpublic information regarding the potential … Continue reading
Posted in Securities
Tagged bristol myers squibb, Fraud, illegal trades, Insider Trading, ramnarine, SEC, Securities Act, Securities Exchange Act
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SEC Charges Fund Manager Peter Siris and Others With Fraud Related to Chinese Reverse Merger Company
SEC v. Peter Siris, et al.; SEC v. Alan Sheinwald, et al.; In the Matter of Peter Dong Zhou; In the Matter of Stephen Mazuchowski (A/K/A Steve Mazur); In the Matter of James Fuld, Jr. On July 30, 2012, the … Continue reading
SEC Freezes Assets of Insider Traders in Nexen Acquisition
SEC v. Well Advantage Limited, et al. The SEC is continuing its pursuit of insider traders, obtaining an emergency asset freeze on traders’ assets. On July 27, 2012, the SEC filed a complaint against Well Advantage Limited, Certain Unknown Traders … Continue reading
SEC Charges Ladislav “Larry” Schvacho With Insider Trading
SEC v. Ladislav “Larry” Schvacho, Case No. 1:12-mi-99999-UNA (N.D. Ga.). On July 24, 2012, the SEC announced insider trading charges against Larry Schvacho. Schvacho traded in the common stock of Comsys IT Partners, Inc. (“Comsys”) based on material, non-public information … Continue reading
SEC Charges Monouchehr Moshayedi With Insider Trading
SEC v. Monouchehr Moshayedi, Case No. SACV12-1179 (C.D. Cal.) On July 19, 2012, the SEC announced insider trading charges against Monouchehr Moshayedi in connection with the sale of nine million shares of stock in STEC, Inc. (“STEC”) in August 2009. Moshayedi is a founder, and … Continue reading
Posted in Securities
Tagged Fraud, Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Charges Apparao Mukkamala, Suresh Anne, Jitendra Prasad Katneni, Mallikarjunarao Anne, and Rao A.K. Yalamanchili With Insider Trading
United States Securities and Exchange Commission v. Apparao Mukkamala, et al., Case No. 12-cv-13020 (E.D. Mich. July 10, 2012). On July 10, 2012, the SEC filed settled insider trading charges against five physicians. Between March and July 2010, Mukkamala served … Continue reading
SEC Charges Equity Research Firm Founder Tai Nguyen with Insider Trading
Securities and Exchange Commission v. Tai Nguyen, Case No. 12-CIV-5009 (S.D.N.Y.). On June 26, 2012 the SEC charged Tai Nguyen, owner of equity research firm Insight Research, with insider trading. The Nguyen case stems from the SEC’s investigation of “expert … Continue reading
Posted in Securities
Tagged Fraud, Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC and Stephen H. Guth Settle Insider Trading Charges Concerning Omrix Tender Offer
SEC v. Stephen H. Guth, Case No. 1:12-cv-00842 (RBW) (D.D.C.). On May 24, 2012 the SEC filed a settled civil enforcement action against Stephen H. Guth for buying Omrix Biopharmaceuticals, Inc. common stock ahead of a public announcement that Johnson & Johnson … Continue reading
SEC Files Insider Trading Charges Against Former Yahoo Executive and Ameriprise Mutual Fund Manager
SEC v. Reema D. Shah and Robert W. Kwok, Civil Action No. 12-CV-4030 (ALC) (S.D.N.Y.). On May 22, 2012, the SEC announced insider trading charges against Robert W. Kwok, former Senior Director of Business Management at Yahoo! Inc., and Reema D. Shah, … Continue reading
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