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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 Hedge Fund Adviser Randall Hansen with Fraud
SEC v. Randal Kent Hansen, et al., Case No. 13-cv-01403 (S.D.N.Y.). On March 4, 2013, the SEC announced fraud charges related to two hedge funds — RAHFCO Funds LP and RAHFCO Growth Fund LP (the “RAHFCO Hedge Funds”). The SEC charged RAHFCO Management Group, … Continue reading
Posted in Securities
Tagged Broker-Dealer, Fraud, Hedge Fund, Investment Advisers Act, 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 San Francisco-Bay Area Real Estate Fund Managers Walter Ng, Kelly Ng and Bruce Horwitz with Fraud
SEC v. Walter Ng, Kelly Ng, Bruce Horwitz, and The Mortgage Fund, LLC, Case No. C 13-0895 NC (N.D. Cal.). On February 28, 2013, the SEC announced fraud charges against Bay Area real estate fund managers Walter Ng, his son … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Charges Chinese Company Keyuan Petrochemicals with Fraud
SEC v. Keyuan Petrochemicals, Inc. and Aichun Li, Case No. 1:13-cv-00263 (D.D.C.). On February 28, 2013, the SEC announced fraud charges against Keyuan Petrochemicals, Inc., a Chinese issuer formed through a reverse merger in April 2010. The SEC also charged the Company’s … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, Internal Controls, SEC, Securities Act, Securities Exchange Act
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SEC Obtains Emergency Asset Freeze of Account Used in Insider Trading Ahead of Heinz Acquisition
SEC v. Certain Unknown Traders in the Securities of H.J Heinz Company (S.D.N.Y.). On February 15, 2013, the SEC announced that it obtained an emergency court order to freeze assets in a Zurich, Switzerland-based trading account that was used to obtain … 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
Posted in Securities
Tagged Fraud, Investment Advisers Act, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
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SEC Obtains Final Judgments in Insider Trading Scheme Involving Wall Street Banker, Russian Trader and His Wife
SEC v. Igor Poteroba, Aleksey Koval, Alexander Vorobiev, and Relief Defendants Tatiana Vorobieva and Anjali Walter, Case No. 1:10-CV-2667 (AKH) (S.D.N.Y.). On February 13, 2013, the SEC announced it had obtained default judgments against Alexander Vorobiev (“Vorobiev”) and his wife, relief defendant … Continue reading
SEC Settles Cherry-Picking Case against Hedge Fund Manager Howard Berger
SEC v. Howard Brett Berger and Michelle Berger, Case No. CV-12-4728 (E.D.N.Y.). On February 12, 2013, the SEC announced it settled an enforcement action brought in September 2012. The SEC alleged Howard Berger (“Berger”) was a founder and manager of … Continue reading
Posted in Securities
Tagged Hedge Fund, Investment Advisers Act, SEC, Securities Exchange Act
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SEC Files Emergency Action in a $150 Million Investment Scheme
SEC v. A Chicago Convention Center, LLC, Anshoo Sethi, and Intercontinental Regional Center Trust of Chicago, LLC, Case No. 13-cv-982 (E.D. Ill.). On February 8, 2013, the SEC announced charges and an asset freeze against Anshoo Sethi, A Chicago Convention Center … Continue reading
SEC Gives Up on Case against IndyMac CFO A. Scott Keys
SEC v. Michael W. Perry et al, Case No. CV 11-1309 R (JCx) (C.D. Cal.). On February 7, 2013, the SEC announced that a federal judge granted summary judgment in favor of A. Scott Keys, a former CFO of IndyMac Bancorp., … Continue reading
Securities Enforcement Blog 