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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: SEC
SEC Charges Mark Begelman with Insider Trading
SEC v. Mark D. Begelman, Case No. 9:13-cv-80396 (S.D. Fl.). On April 22, 2013, the SEC announced it filed a settled insider trading case against Mark Begelman for trading based on confidential information obtained through his membership in the World … Continue reading
SEC Files Insider Trading Charges against Trader Joseph Mancuso
SEC v. Joseph Mancuso, Case No. 13-cv-2555 (S.D.N.Y.). On April 17, 2013, the SEC announced it filed insider trading charges against Joseph Mancuso who used to be a trader at registered broker-dealer Schottenfeld Group. The SEC alleges that Mancuso obtained … Continue reading
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
Posted in Securities
Tagged Fraud, Penny Stock, SEC, Securities Act, Securities Exchange Act
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SEC Files Settled Insider Trading Charges Against Investment Banker Richard Bruce Moore
SEC v. Richard Bruce Moore, Case No. 13-cv-2514 HB (S.D.N.Y.). On April 16, 2013, the SEC announced it filed settled insider trading charges against Richard Bruce Moore. According to the SEC, Moore purchased American Depositary Receipts (“ADRs”) of Tomkins plc, … Continue reading
SEC Charges Parker Drilling Company with FCPA Violations
SEC v. Parker Drilling Company, Case No. 1:13-cv-461 (E.D. Va.). On April 16, 2013, the SEC announced it filed settled FCPA charges against Parker Drilling Company, an international drilling services firm. According to the SEC, Parker Drilling authorized payments to … Continue reading
SEC Charges David Miller in Unauthorized Trading Scheme
SEC v. David Miller, Case No. 3:13-cv-00522 (D. Conn.). On April 15, 2013, the SEC announced it filed a partially settled enforcement action against David Miller, a former trader with Rochdale Securities LLC. The SEC alleges that Miller received an … Continue reading
Posted in Securities
Tagged Broker-Dealer, Fraud, SEC, Securities Act, Securities Exchange Act
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SEC Charges Scott Reiman with Insider Trading
In the Matter of Scott Reiman, Admin. Proc. File No. 3-15277. On April 15, 2013, the SEC announced it initiated and settled an administrative proceeding charging Scott Reiman with insider trading. According to the SEC Order Instituting Proceedings, Reiman is … Continue reading
SEC Sues Former KPMG Partner for Insider Trading
SEC v. Scott London and Bryan Shaw, Case No. CV 13-02558 (C.D. Cal.). On April 11, 2013, the SEC announced it filed insider trading charges against former KPMG partner Scott London and his friend Bryan Shaw. The SEC alleges that … Continue reading
SEC Charges Medical Device Company Employee for Illegally Tipping His Brother
SEC v. Tai Nguyen and Thanhha Bao, Case No. 12-cv-5009 (GBD) (S.D.N.Y.). On April 8, 2013, the SEC announced an enforcement action against ThanhHa Bao, who worked in the finance department at Abaxis Inc. The SEC alleges that Bao routinely … Continue reading
Posted in Securities
Tagged Hedge Fund, Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Charges Glenn Hoppes and His Companies with Offering Fraud in Connection with Oil Drilling Projects
SEC v. Glenn Hoppes, United States Energy Corp., TN-KY Development Fund LP, TN-KY Development Fund II LP and TN-KY Development Fund III LP, Case No. 8:13-cv-00868-SDM-AEP (M.D. Fl.). On April 8, 2013, the SEC announced an enforcement action against Glenn … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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Securities Enforcement Blog 