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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
- SEC Settles Penny Stock Case Against Curt Kramer for $1.4 Million
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Tag Archives: Penny Stock
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
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Tagged Fraud, Penny Stock, SEC, Securities Act, Securities Exchange Act
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SEC Charges Attorney Brian Reiss with Fraud for Legal Opinion Letters
SEC v. Brian R. Reiss, Case No. 13-cv-1537 (S.D.N.Y.). On March 7, 2013, the SEC announced fraud charges against California attorney Brian Reiss for issuing legal opinion letters without any basis. A legal opinion letter is one provided to transfer … Continue reading
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Tagged Fraud, Penny Stock, SEC, Securities Exchange Act, Unregistered Securities Transactions
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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
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Tagged Fraud, Market Manipulation, Penny Stock, 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 James and Jeffrey Quay With Defrauding Elderly Investors
SEC v. James S. Quay and Jeffrey A. Quay, Case No. 1:12-cv-03429-RWS (N.D. Ga.). On October 4, 2012, the SEC announced fraud charges against James and Jeffrey Quay. James Quay (“Quay”) and his brother stole $560,000 from two women who … 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 Four Individuals In $1.7 Million Investment Scam
SEC v. Rudolf D. Pameijer, et al., Case No. 1:12-CV-01364 (S.D. In.). On September 24, 2012, the SEC announced fraud charges against Rudolf D. Pameijer, Lindsay R. Sayer, Ryan W. Koester and his entity Rykoworks Capital Group, LLC. Koester claimed to be an … Continue reading
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Tagged Broker-Dealer, Forex, Fraud, Penny Stock, SEC, Securities Act, Securities Exchange Act
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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
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Tagged Fraud, Market Manipulation, Penny Stock, SEC, Securities Exchange Act
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SEC Charges Edward Bronson And His Firm In Penny Stock Scheme
Securities and Exchange Commission v. Edward Bronson, et al., Case No. 12-CV-6421 (S.D.N.Y.). On August 22, the SEC charged Edward Bronson and his company, E-Lionheart Associates LLC, in a penny stock scheme. Bronson and E-Lionheart employees would makes cold calls … Continue reading
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Tagged Penny Stock, SEC, Securities Act, Unregistered Securities Transactions
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Securities Enforcement Blog 