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Tag Archives: Market Manipulation
CFTC Settles Libor Case against Rabobank for $475 Million
In the Matter of Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A., CFTC Docket No. 14-02. On October 29, 2013, the CFTC announced the filing of a Settled Order Instituting Proceedings against Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A. (“Rabobank” or the “Bank”) for the alleged false … Continue reading
CFTC Closes Investigation of Silver Markets without Recommending Enforcement Actions
On September 25, 2013, the CFTC’s Division of Enforcement announced it has closed the investigation that was publicly confirmed in September 2008 concerning silver markets without recommending any charges. Although the CFTC rarely comments on opening or closing investigations, the … Continue reading
SEC Charges Cort Poyner and Mohammad Dolah with Market Manipulation
SEC v. Cort Poyner and Mohammad Dolah, Case No. CV 13-4331 (E.D.N.Y). On August 6, 2013, the SEC announced fraud charges against Cort Poyner and Mohammad Dolah in connection with an alleged bribery scheme designed to manipulate the market for … Continue reading
Posted in Securities
Tagged Fraud, Market Manipulation, SEC, Securities Act, Securities Exchange Act
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SEC Suspends Trading of 61 Companies
In the Matter of 3CI Complete Compliance Corp. et al. On June 3, 2013, the SEC announced it had suspended trading in the securities of 61 empty shell companies that are delinquent in their public filings. The list of companies … Continue reading
SEC Charges Robert Crane with Market Manipulation of Penny Stocks
SEC v. Robert Crane, Case No. 1:13-cv-00261 CMH (E.D. Va.). On March 7, 2013, the SEC announced a settled fraud action against Robert Crane for manipulating the market for certain penny stocks. The SEC alleges that Crane executed six wash … Continue reading
Posted in Securities
Tagged Fraud, Market Manipulation, Penny Stock, SEC, Securities Act, Securities Exchange Act
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SEC Charges Falcon Ridge Development and its CEO Fred Montano with Fraud in Market Manipulation Scheme
SEC v. Falcon Ridge Development, Inc., et al., Case No. 13-cv-1101 (E.D. Pa.). On March 1, 2013, the SEC announced fraud charges against Falcon Ridge Development, Inc. (“Falcon Ridge”) and its President and CEO, Fred M. Montano. The SEC alleges … Continue reading
Posted in Securities
Tagged Fraud, Market Manipulation, SEC, Securities Act, Securities Exchange Act
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SEC Charges Jonathan Gilchrist with Stock Manipulation
SEC v. Jonathan C. Gilchrist, Case No 4:13-cv-00163 (S.D. Tex.). On January 23, 2013, the SEC announced it filed charges against Jonathan C. Gilchrist for engaging in a stock manipulation scheme in violation of the registration and antifraud provisions of the … Continue reading
SEC Charges Solar Company In Market Manipulation Case
SEC Sunrise Solar Corporation, Eddie D. Austin, Jr., and Carolyn Austin, Civil Action No. 5:12-cv-00918-OLG (W.D. Tx.). On October 1, 2012, the SEC announced it had filed fraud charges against Sunrise Solar Corporation, its former CEO Eddie D. Austin, Jr., … Continue reading
SEC Charges Jonathan Bryant, Thomas Kelly, Carl Duncan and 8000, Inc. In Market Manipulation Scam
SEC v. 8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, Esq., Case No. 12-CV-7261 (S.D.N.Y.). On September 27, 2012, the SEC announced charges against 8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, … Continue reading
SEC Charges Investment Adviser Anthony K. Welch With Fraud
SEC v. Anthony K. Welch, Case No. 1:12-cv-3034 (N.D. Ga.). On August 31, 2012, the SEC charged former investment adviser Anthony Welch with fraud. Welch issued a press releases and made other public statements that had false and misleading information … Continue reading
Posted in Securities
Tagged Fraud, Market Manipulation, Penny Stock, SEC, Securities Exchange Act
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