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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 Settles Insider Trading Case against Former Executive at a Coca-Cola Bottling Company
SEC v. Steven Harrold, Case No. CV 12-1959 GW (JCx) (C.D. Cal.). On February 6, 2013, the SEC announced that it settled insider trading charges against Steven Harrold, a former executive at a Coca-Cola bottling company. In its complaint filed … Continue reading
SEC Files Insider Trading Case against James Balchan for Trading on Information Gained from his Wife, a Law Firm Partner
SEC v. James Balchan, Case No. 4:13-cv-00298 (S.D. Tx.). On February 6, 2013, the SEC announced that it filed insider trading charges against James Balchan for trading ahead of the acquisition of National Semiconductor after he misappropriated confidential information from … Continue reading
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 Settles Insider Trading Case Against Four Company Executives and Two Tippees
SEC v. Patrick M. Carroll, James P. Carroll, William T. Carroll, David Mark Calcutt, Christopher Calcutt, David Stitt, John Monroe and Stephen Somers, Case No. 3:11-cv-165-H. On February 5, 2013, the SEC announced that it settled insider trading charges in … Continue reading
SEC Announces that Investment Adviser Timothy Roth Was Sentenced to 12 Years in Parallel Criminal Case
SEC v. Timothy J. Roth, et al, Case No. 11-cv-02079 (C.D. Ill.). On February 5, 2013, the SEC announced that a federal judge sentenced Timothy J. Roth to 151 months in prison and ordered him to pay $16,151,964 in restitution … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Charges Richard and Susan Olive with Defrauding Senior Citizens Investing in Charity
SEC v. Richard and Susan Olive, Case No. 2:13-cv-14047 (S. D. Fl.); SEC v. We the People, Inc. of the United States, Case No. 2:13-cv-14050 (S. D. Fl.); SEC v. William G. Reeves, Esq., Case No. 2:13-cv-14048 (S. D. Fl.). … 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 Brings Affinity Fraud Charges against Firas Hamdan in Investment Scheme Targeting Lebanese Community
SEC v. Firas A. Hamdan, Case No. 4:13-CV-215 (S.D. Tex.). On January 29, 2013, the SEC announced fraud charges against Firas Hamdan for targeting members of the Lebanese and Druze communities with an investment scheme involving a supposed high-frequency trading … Continue reading
SEC Brings Financial Crisis-Related Case against Jesse Litvak for Selling Mortgage-Backed Securities
SEC v. Jesse C. Litvak, Case No. 3:13-cv-00132 (D. Conn.). On January 28, 2013, the SEC announced fraud charges against Jesse Litvak, a former executive at broker-dealer Jeffries & Co. The SEC alleges that Litvak arranged trades for customers as … Continue reading
Posted in Securities
Tagged Broker-Dealer, Fraud, Mortgage Backed Securities, SEC, Securities Act, Securities Exchange Act
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SEC Charges Financial Adviser Kevin Dowd with Tipping Insider Information
SEC v. Kevin L. Dowd. On January 25, 2013, the SEC announced charges in New Jersey Federal Court against Kevin Dowd for illegally tipping inside information. The SEC alleges that Dowd learned about the acquisition of Pharmasset Inc. by Gilead … Continue reading
Posted in Securities
Tagged illegal trades, Insider Trading, SEC, Securities Exchange Act
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Securities Enforcement Blog 