Contributors
-
Recent Posts
- 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
Archives
Categories
Meta
Other BraunHagey Blogs
-
Tag Archives: SEC
SEC Charges Mark Megalli with Insider Trading
SEC v. Mark Megalli, (N.D. Ga.). On November 14, 2013, the SEC announced it filed insider trading charges against Mark Megalli for trading on nonpublic information about clothing company Carter’s Inc. According to the SEC, Megalli got inside information through a … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, Insider Trading, SEC, Securities Act, Securities Exchange Act
Leave a comment
SEC Enters into Deferred Prosecution Agreement with Scott Herckis
On November 12, 2013, the SEC announced that it entered into its first deferred prosecution agreement (“DPA”) with an individual. DPAs are intended to encourage cooperation with the SEC as it investigates wrongdoing. In return for such cooperation, the SEC … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
Leave a comment
SEC Charges Subsidiary of the Royal Bank of Scotland with Fraud in Connection with Mortgage-Backed Security Offering
SEC v. RBS Securities, Inc., Case No. 3:13-cv-01643 (D. Conn.). On November 7, 2013, the SEC announced it filed settled fraud charges against RBS Securities Inc., a subsidiary of the Royal Bank of Scotland plc, in connection with a subprime … Continue reading
SEC Files Subpoena Enforcement Action against Anthony Coronati
SEC v. Anthony Coronati, Case No. 1:13-mc-00372-P1. On November 5, 2013, the SEC announced it filed a subpoena enforcement action against Anthony Coronati and obtained an order directing Coronati to show cause why he should not be ordered to comply … Continue reading
SEC Charges Municipal Issuer and the Underwriter and Outside Developer in Connection with a Bond Offering that Financed the Construction of a Regional Events Center and Ice Hockey Arena
In the Matter of the Greater Wenatchee Regional Events Center Public Facilities District, et al., Admin Proc. No. 3-156602; In the Matter of Piper Jaffray & Co. and Jane Towery, Admin Proc. No. 3-15603. On November 5, 2013, the SEC … Continue reading
SEC Obtains Emergency Relief Against Christopher A.T. Pedras to Stop Ponzi Scheme
SEC v. Christopher A.T. Pedras, et al., Case No. CV 13-07932 DMG JCGx (C.D. Cal.) On November 4, 2013, the SEC announced it obtained an emergency asset freeze against Christopher A.T. Pedras who allegedly deceived investors into believing they were … Continue reading
SEC Charges Yin Nan Wang and Wendy Ko in Real Estate Scheme and Obtains Emergency Asset Freeze
SEC v. Yin Nan “Michael” Wang, Wendy Ko, et al., Case No. CV 13-07553 JAK CSSx (C.D. Cal.) On November 1, 2013, the SEC announced it obtained an emergency asset freeze against Yin Nan (Michael) Wang, Wendy Ko and some … Continue reading
Posted in Securities
Tagged Fraud, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
Leave a comment
SEC Charges Dennis Rosenberg with Insider Trading
SEC v. Dennis S. Rosenberg, Case No. 1:13-cv-3559-AT (N.D. Ga.). On October 29, 2013, the SEC announced insider trading charges against Dennis Rosenberg (“Rosenberg”) for trading in the securities of Carter’s Inc. (“Carter’s”). According to the SEC, Rosenberg would trade … Continue reading
Posted in Securities
Tagged Insider Trading, SEC, Securities Act, Securities Exchange Act
Leave a comment
SEC Charges Further Lane Asset Management, GW & Wade, and Knelman Asset Management Group with Violating Custody Rules
In the Matter of Further Lane Asset Management, LLC, et al., Admin. Proc. No. 3-15590; In the Matter of GW & Wade, LLC, Admin. Proc. No. 3-15589; In the Matter of Knelman Asset Management Group, LLC et al., Admin. Proc. … Continue reading
SEC Charges Stryker Corporation with FCPA Violations
In the Matter of Stryker Corporation, Admin. Proc. No. 3-15587. On October 24, 2013, the SEC announced it filed a settled Foreign Corrupt Practices Act case against Stryker Corporation related to its subsidiaries’ alleged payments of bribes to doctors, health … Continue reading
Securities Enforcement Blog 