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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 Freezes Another $6 Million in Nexen Insider Trading Case
Recently I blogged about the SEC freezing assets in connection with the acquisition of Nexen by Chinese energy company CNOOC Limited (“CNOOC”). In late July 2012, the SEC filed a complaint alleging that Hong Kong-based Well Advantage Limited and other unknown traders … Continue reading
SEC Charges Joseph McVicker With Insider Trading
SEC v. Joseph McVicker, Case No. 1:12-cv-11434 (D. Mass.) On August 3, 2012, the SEC announced insider trading charges against Joseph McVicker. This case involves unlawful insider trading by McVicker in the stock of Art Technology Group, Inc. (“Art Technology”) … Continue reading
SEC Charges Bristol-Myers Squibb Co. Executive Robert Ramnarine With Insider Trading
SEC v. Robert D. Ramnarine, Case No. 2:12-cv-04837-SDW-MCA. On August 2, 2012, the SEC announced insider trading charges against Robert Ramnarine, a high-level executive in the treasury department at Bristol-Myers Squibb Co. After getting material nonpublic information regarding the potential … Continue reading
Posted in Securities
Tagged bristol myers squibb, Fraud, illegal trades, Insider Trading, ramnarine, SEC, Securities Act, Securities Exchange Act
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SEC Charges Fund Manager Peter Siris and Others With Fraud Related to Chinese Reverse Merger Company
SEC v. Peter Siris, et al.; SEC v. Alan Sheinwald, et al.; In the Matter of Peter Dong Zhou; In the Matter of Stephen Mazuchowski (A/K/A Steve Mazur); In the Matter of James Fuld, Jr. On July 30, 2012, the … Continue reading
SEC Charges Emanuel Sarris and His Firm in $30 Million Ponzi Scheme
SEC v. Emanuel L. Sarris, Sr., et al., Case No. 12-cv-04272-TON (N.D. Pa.). On July 30, 2012, the SEC announced fraud charges against Sarris and his firm Sarris Financial Group, Inc. (“Sarris Financial”) for their role in a Ponzi scheme … Continue reading
Federal Jury Clears Former Citigroup Manager Brian Stoker of Fraud Charges
On July 31, 2012, a federal jury found that former Citigroup Manager Brian Stoker was not liable for fraud in connection with the bank’s sale of mortgage-related investments.
SEC Files Settled Offering Fraud Action Against Michael Bodanza
SEC v. Michael A. Bodanza, et al., Case No. 1:12-cv-1954 (N.D. Ohio). On July 30, 2012, the SEC announced the filing of a settled civil action against Michael Bodanza, the former CFO and founding member of Preferred Financial Holdings Co., … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges Ronald Feldstein for Role in Facilitating Fake Investment in Penny Stock Company
SEC v. Ronald Feldstein. On July 25, 2012, the SEC filed a complaint against Ronald Feldstein. The suit stems from the role played Feldstein played in the disclosure of materially misleading information by Interlink-US-Network, Ltd. (“Interlink”) and its officers concerning a … Continue reading
SEC Charges Ladislav “Larry” Schvacho With Insider Trading
SEC v. Ladislav “Larry” Schvacho, Case No. 1:12-mi-99999-UNA (N.D. Ga.). On July 24, 2012, the SEC announced insider trading charges against Larry Schvacho. Schvacho traded in the common stock of Comsys IT Partners, Inc. (“Comsys”) based on material, non-public information … Continue reading
SEC Charges Chicago-Based Huron Consulting Group and Two Former Executives With Accounting Violations
In the Matter of Huron Consulting Group, Inc., Gary L. Burge, CPA, and Wayne E. Lipski, CPA, Admin. Proc. No. 3-14958. On July 19, 2012, the SEC issued an administrative order finding that Huron Consulting Group Inc., a provider of … Continue reading
Posted in Securities
Tagged Books and Records, Internal Controls, SEC, Securities Exchange Act
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Securities Enforcement Blog 