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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 Fraud Case Related To Deepwater Horizon Oil Spill With BP for $525 Million
SEC v. BP p.l.c, Case No. 2:12-cv-02774 (E.D. La.). On November 15, 2012, the SEC announced a settlement with BP in connection with claims the company mislead investors while the Deepwater Horizon oil rig was leaking oil into the Gulf … Continue reading
The Securities and Exchange Commission Releases Its Annual Results
On November 14, 2012, the SEC announced the results of its enforcement program for fiscal year 2012 (“FY12”), and the agency came just one case short of matching its 2011 record-breaking numbers. The SEC filed 734 enforcement cases, bringing the … Continue reading
SEC Charges Anand Sekaran With Defrauding Clients
SEC v. Anand Sekaran and Wasson Capital Advisors, Ltd., Case No. 12-cv-8199 JMP (S.D. N.Y.). On November 9, 2012, the SEC announced charges against Anand Sekaran and his firm Wasson Capital Advisors. The SEC alleges that Wasson’s strategy was to … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Exchange Act
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SEC Charges James Ellis With Brining Victims Into Ponzi Scheme
SEC v. James Ellis, Case No. 12-cv-62211 (S.D. Florida.). On November 9, 2012, the SEC announced charges against James Ellis. The SEC alleges that Ellis was involved in a Ponzi scheme with George Elia. Ellis found investors and introduced them … Continue reading
SEC Settles With Aamer Abdullah Considering His Cooperation Under The SEC’s Enforcement Cooperation Initiative
SEC v. Aamer Abdullah, Case No. 10-cv-4957 (S.D.N.Y.). On November 9, 2012, the SEC announced a settlement with Aamer Abdullah in a case brought in June 2010. Abdullah was a portfolio manager with ICP Asset Management, LLC. According to the … Continue reading
Posted in Securities
Tagged Broker-Dealer, Collateralized Debt Obligation, Fraud, SEC, Securities Exchange Act
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SEC Charges Electronic Game Company Executives And Their Outside Auditor With Fraud
SEC v. Lee Cole, Linden Boyne, Kevin Donovan, and Timothy Quintanilla (S.D.N.Y). On November 8, 2012, the SEC announced it charged Lee Cole, Linden Boyne, Kevin Donovan, and Timothy Quintanilla with fraud. Cole was the CEO of Electronic Game Card, … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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Former Deloitte Partner Thomas Flanagan Sentenced to 21 Months For Insider Trading
SEC v. Thomas P. Flanagan, et al.,Case No. 10-cv-04885 (N.D. Ill.). On October 31, 2012, the SEC announced that Thomas P. Flanagan was sentenced to 21 months of incarceration followed by supervised release of 12 months. Flanagan must also pay … Continue reading
SEC Charges Michael Van Guilder With Insider Trading
SEC v. Michael Van Guilder, Case No. 12-cv2839 (D. Colo.). On October 26, 2012, the SEC announced it charged Michael Van Gilder, the CEO of the Van Gilder Insurance Company, with insider trading. Van Gilder learned from an insider that … Continue reading
SEC Settles Insider Trading Charges Against Kris Chellam In Connection With The Galleon Funds
SEC v. Kris Chellam, Case No. 12-CIV-7983 (S.D.N.Y). On October 26, 2012, the SEC announced settled insider trading charges against Silicon Valley executive Kris Chellam. Chellam tipped convicted insider trader Raj Rajaratnam by telling him that Xilinx, Inc. would not … Continue reading
Posted in Securities
Tagged Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Charges Former J. Crew Director Frank LoBue With Insider Trading
SEC v. Frank LoBue, Case No. 12 CIV 7944 (S.D.N.Y). On October 25, 2012, the SEC announced insider trading charges against Frank LoBue, a former Director of Store Operations at J Crew. LoBue regularly received confidential information about J. Crew’s … Continue reading
Securities Enforcement Blog 