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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 Files Settled Offering Fraud Case Against Rodney Ratheal
SEC v. Premco Western, Inc. and Rodney Scott Ratheal, Case No. 2:12-cv-01120-BSJ (D. Utah). On December 10, 2012, the SEC announced it filed a settled fraud action against Premco Western, Inc., an oil and gas company that drills on land … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges Wells Fargo Investment Banker John W. Femenia And Nine Others With Insider Trading
SEC v. John Femenia, et al., Case No. 3:12-cv-803 GCM (W.D. NC). On December 5, 2012, the SEC announced insider trading charges against Wells Fargo investment Banker John W. Femenia and Aaron M. Wens, Matthew Musante, Anthony Musante, Shawn Hegedus, Danielle … Continue reading
SEC Charges Chinese Affiliates Of Big Four Accounting Firms For Refusing To Produce Documents In Connection With SEC Investigations
In the Matter of BDO China Dahua CPA Co., Ltd. et al, Admin Proc. No. 3-15116. On November 3, 2012, the SEC announced it issued an Order Instituting Proceedings against BDO China Dahua Co.. Ltd., Deloitte Touche Tohmatsu Certified Public Accountants Ltd., Ernst & … Continue reading
SEC Settles Insider Trading Charges Against I. Joseph Massoud For More Than $1.4 Million
SEC v. I. Joseph Massoud, Case No. 3:12-cv-01691 (D. Ct.). On November 30, 2012, the SEC announced insider trading charges against I. Joseph Massoud. The SEC alleges that Massoud traded ahead of the sale of Patriot Capital Funding based on … Continue reading
SEC Settles With Igor Cornelsen and Bainbridge Group For $5.1 Million For Insider Trading In Burger King Stock
SEC v. Igor Cornelsen and Bainbridge Group, Inc., Case No. 12-civ-8712 (S.D.N.Y). Previously, I wrote about the SEC’s Burger King Insider Trading Case against Waldyr Neto. On November 30, 2012, the SEC announced charges against Igor Cornelsen and his firm … Continue reading
SEC Charges Dayl W. Pearson, Michael I. Wirth, and R. Jonathan Corless For Overvaluing Assets During The Financial Crisis
In the Matter of KCAP Financial Inc., Dayl W. Pearson, Michael I. Wirth, CPA and R. Jonathan Corless, Admin. Proc. No. 3-15109. On November 28, 2012, the SEC announced the filing of a settled Administrative Order finding that KCAP Financial … Continue reading
SEC Charges Roger Parker As Information Source In Insider Trading Case
SEC v. Michael Van Gilder and Roger Parker, Case No. 12-cv-2839 (D. Colo.). Previously, I wrote about the SEC’s insider trading case against Michael Van Guilder. The SEC alleged Van Gilder traded on inside information in advance of Delta Petroleum … Continue reading
SEC Settles With Four Brokerage Firms For Registration Violations
In the Matter of Ambit Capital Pvt. Ltd., Admin. Proc. No. 3-15105; In the Matter of Motilal Oswal Securities Limited, Admin. Proc. No. 3-15106; In the Matter of JM Financial Institutional Securities Private Limited, Admin. Proc. No. 3-15107; In the … Continue reading
SEC Obtains Asset Freeze and Appointment of Receiver In Fraud Case Against Hedge Fund Adviser Hochfeld Capital Management And Its Principal Berton Hochfeld
SEC v. Berton Hochfeld et al., Case No. 12-cv-8202 (S.D.N.Y.). On November 26, 2012, the SEC announced it obtained a consent judgment in its case against Berton M. Hochfeld and Hochfeld Capital Management, L.L.C., ordering injunctions, asset freezes, the appointment of a … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Settles With J.P Morgan For $296.9 Million Related to Mortgage-Backed Securities
SEC v. J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I, Case No. 1:12-cv-01872 RLW(D.D.C.). On November 16, 2012, the … Continue reading
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