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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 Obtains Temporary Restraining Order against British Internet Investment Scheme
SEC v. Inter Reef, Ltd. dba Profitable Sunrise, Melland Company S.R.O., Color Shock S.R.O., Solutions Company S.R.O. and Fortuna-K S.R.O., Case No. 1:13-cv-1104 (D. Ga.). On April 4, 2013, the SEC announced it filed an emergency enforcement action against Inter … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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The SEC Approves Use of Social Media for Company Disclosures if Investors Are Advised of Where to Look
A propos of my appearance on Bloomberg West TV, the SEC announced yesterday that companies may use social media for company announcements if investors are advised about which social media outlets will be used to convey the information. The SEC’s … Continue reading
SEC Regulation FD and Social Media
Yesterday, I was invited on Bloomberg TV to discuss whether disclosure of corporate information through social media outlets like Twitter and Facebook may violate Reg. FD.
SEC Settles S.A.C. Capital Insider Trading Case for $600 Million
SEC v. CR Intrinsic Investors, LLC et al., Case No. 12 Civ. 8466 VM (S.D.N.Y.). On March 18, 2013, the SEC announced it settled insider trading charges against CR Intrinsic Investors, an affiliate of S.A.C. Capital for more than $600 … Continue reading
Posted in Securities
Tagged Hedge Fund, Insider Trading, SEC, Securities Exchange Act
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SEC Obtains Asset Freeze Against Investment Adviser Gregg Caplitz Charged with Stealing Client Money
SEC v. Gregg D. Caplitz, et al., Case No. 1:13-cv-10612 MLW (D. Mass.). On March 18, 2013, the SEC announced it obtained an asset freeze against investment adviser Gregg D. Caplitz. The SEC alleges that Caplitz and Insight Onsite Strategic … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Files Settled Fraud Action against the State of Illinois for Misleading Pension Disclosures
In the Matter of State of Illinois, Admin. Proc. File No. 3-15237. On March 11, 2013, the SEC announced it issued a settled cease-and-desist order against the State of Illinois. This is the second time the SEC has charged a … Continue reading
SEC Obtains Emergency Order Halting Alleged Investment Scheme by John Rohner
SEC v. Inteligentry, Ltd., PlasmERG, Inc., PTP Licensing, Ltd. and John P. Rohner, Case No. 2:13-cv-00344 GMN (D. Nev.). On March 8, 2013, the SEC announced it obtained an emergency order halting an alleged investment scheme. The SEC alleged that John P. … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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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
Posted in Securities
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
Posted in Securities
Tagged Fraud, Market Manipulation, Penny Stock, SEC, Securities Act, Securities Exchange Act
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SEC Charges Stock Promoter Colin McCabe with Fraud
SEC v. Colin McCabe (D/B/A Elite Stock Report, The Stock Profiteer, and Resource Stock Advisor), Case No. 2:13-cv-00161 (D. Utah). On March 4, 2013, the SEC announced fraud charges against Canadian stock promoter Colin McCabe. According to the SEC, McCabe … Continue reading
Securities Enforcement Blog 