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- SEC Obtains Emergency Relief against Robert Helms and Janniece Kaelin in Alleged Ponzi Scheme
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Tag Archives: Investment Advisers Act
SEC Charges Edward M. Laborio In Boiler Room Scheme
Securities and Exchange Commission v. Edward M. Laborio, Jonathan Fraiman, Matthew K. Lazar, Envit Capital, LLC, Envit Capital Group, Inc., Envit Capital Holdings, Inc., Envit Capital Private Wealth Management, LLC, Envit Capital Multi Strategy Mixed Investment Fund I LP, Aetius … Continue reading
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 Charges Mizuho Securities USA With Misleading Investors By Obtaining False Credit Ratings for Collateralized Debt Obligation.
SEC v. Mizuho Securities USA Inc., Case No. 12-cv-5550 (S.D.N.Y); In the Matter of Alexander V. Rekeda, Admin. Proc. No. 3-14953; In the Matter of Xavier Capdepon and Gwen Snorteland, Admin. Proc. No. 3-14954; In the Matter of Delaware Asset Advisers … Continue reading
SEC Charges Peter Madoff Charged with Fraud
Securities and Exchange Commission v. Peter B. Madoff, Case No. 12-civ-5100. On June 29, 2012, the SEC charged Peter Madoff, brother of Bernie Madoff, with fraud, making false statements to regulators, and falsifying books and records. Madoff served as Chief … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Charges Aubrey Lee Price With Fraud and Freezes His Assets
Securities And Exchange Commission v. Aubrey Lee Price; PFG, LLC; PFGBI, LLC; Montgomery Asset Management, LLC f/k/a PFG Asset Management, LLC, (Florida limited liability company); and Montgomery Asset Management, LLC f/k/a PFG Asset Management, LLC, (Georgia limited liability company), Case No. … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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Fund Adviser AMMB Consultant Sendirian Berhad Agrees to Pay More than $1.5 million to settle SEC Charges
Securities and Exchange Commission v. AMMB Consultant Sendirian Berhad, Case No. 1:12-cv-01052 (D.D.C.). On June 26, 2012, the SEC sued AMMB Consultant Sendirian Berhad (“AMC”), a Malaysian investment adviser, for charging a U.S. registered fund for over a decade for advisory services that AMC did … Continue reading
SEC Settles With Hedge Fund Adviser Charged With Misleading Investors
In the Matter of Quantek Asset Management, LLC, Bulltick Capital Markets Holdings, LP, Javier Guerra, and Ralph Patino, AP File No. 3-14893. On May 29, 2012, the SEC issued an Order Instituting Administrative and Cease-And-Desist Proceedings against Quantek, Bulltick, Guerra and Patino. … Continue reading
Posted in Securities
Tagged Hedge Fund, Investment Advisers Act, SEC, Securities Act
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Oppenheimerfunds Agrees to Pay $35 Million to Settle SEC Charges for Misleading Statements During Financial Crisis
In the Matter of Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc., AP File No. 3-14909. On June 6, 2012, the SEC issued an Order Instituting Cease-And-Desist Proceedings against Oppenheimerfunds, Inc. (“OFI”) and Oppenheimerfunds Distributor, Inc. (“OFDI”) for making misleading statements about … Continue reading
Posted in Securities
Tagged Fraud, Investmeant Company Act, Investment Advisers Act, SEC, Securities Act
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SEC Charges Walter Clarke and Investment Firm With Fraud
In the Matter of Oxford Investment Partners, LLC and Walter J. Clarke, AP File No. 3-14899. On May 30, 2012, the SEC issued an Order Instituting Cease-And-Desist Proceedings against Phoenix-based investment adviser Walter Clarke for concealing his personal stake in … Continue reading
SEC Charges Investment Advisers Jorge Gomez and Roberto Aleph Espinosa With Fraud
SEC v. Jorge Gomez and Roberto Aleph Espinosa, Case No. 1:12-CV-21962 (S.D. Fl.). On May 29, 2012, the SEC charged Jorge Gomez, an investment adviser, with perpetrating a fraudulent scheme to misappropriate millions from an investment advisory client. The SEC … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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Securities Enforcement Blog 