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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
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Tag Archives: Ponzi Scheme
CFTC Charges Whileon Chay and 4X Solutions in Forex Ponzi Scheme
CFTC v. 4X Solutions, Inc. and Whileon Chay, Case No. 13-CIV-2287 (S.D.N.Y.). On April 8, 2013, the CFTC announced it filed fraud charges against 4X Solutions, Inc. and its principal, Whileon Chay. The CFTC alleges that Chay and 4X raised $4.8 … Continue reading
SEC Sues Investment Advisor Desla U. Thomas in Investment Scheme
SEC v. Desla U. Thomas, et al., Case No. 3:13-cv-00739-L (N.D. Tex.). On February 15, 2013, the SEC announced fraud charges against investment adviser Delsa U. Thomas, The D. Christopher Capital Group, LLC (“DCCMG”), and The Solomon Fund LP. The SEC’s complaint … Continue reading
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Tagged Fraud, Investment Advisers Act, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
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SEC Settles Case against Former Officers of Gibraltar Asset Management Group
SEC v. Garfield Taylor, Inc., et al., Case No. 1:11-cv-02054-RLW (D.D.C.). On February 5, 2013, the SEC announced that it settled its case against three former officers of Gibraltar Asset Management Group, LLC for their role in a $27 million … Continue reading
SEC Charges Five Cay Clubs Resorts and Marinas Executives in $300 Million Ponzi Scheme
SEC v. Barry J. Graham, Fred Davis Clark, Jr., a/k/a Dave Clark, Cristal R. Coleman, a/k/a Cristal Clark, David W. Schwarz, Ricky Lynn Stokes, Case No. 4:13-cv-10011 (S. D. Fl.). On January 30, 2013, the SEC announced fraud charges against … Continue reading
SEC Charges James Ellis With Brining Victims Into Ponzi Scheme
SEC v. James Ellis, Case No. 12-cv-62211 (S.D. Florida.). On November 9, 2012, the SEC announced charges against James Ellis. The SEC alleges that Ellis was involved in a Ponzi scheme with George Elia. Ellis found investors and introduced them … 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
CFTC Obtains $1.4 Million in Penalties in Ponzi Scheme
CFTC v. Midway Trading Company, LLC, et al., Case No. 11-23554-CIV-ROSENBAUN (S.D. Fl.). On October 1, 2012, the CFTC announced that it obtained an order requiring Oscar Hernandez, Midway Trading Company, LLC and Conquest Investment Group, Inc. to pay a $1.4 million … Continue reading
SEC Charges Bradley Holcom and Jose Pinedo in $42 Million Fraud Targeting Senior Citizens
SEC v. Bradley A. Holcom, Case No. 3:12-cv-01623 (S.D. Cal.); SEC v. Jose L. Pinedo, Case No. 3:12-cv-01620 (S.D. Cal.). On September 27, 2012, the SEC announced fraud charges against Bradley Holcom and Jose Pinedo. Holcom was behind an unregistered … Continue reading
SEC Charges Hedge Fund Manager Yusaf Jawed in $37 Million Ponzi Scheme
SEC v. Yusaf Jawed, Grifphon Asset Management, LLC, et al; Case No. 12-1696 (D. Ore.); SEC v. Jacques Nichols, Case No. 12-1698 (D. Ore.); SEC v. Lyman Bruhn, et al., Case No. 12-1697 (D. Ore.). On September 21, 2012, the SEC … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
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SEC Charges Hedge Fund Manager Angelo Alleca With Running a Ponzi-Like Scheme
SEC v. Angelo A. Alleca, et al., Case No. 1:12-cv-03261-WSD (N.D. Ga.). On September 19, 2012, the SEC announced fraud charges against hedge fund manager Angelo A. Alleca and his investment advisory firm, Summit Wealth Management, Inc. and three funds he operated … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
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Securities Enforcement Blog 