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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 Charges Monouchehr Moshayedi With Insider Trading
SEC v. Monouchehr Moshayedi, Case No. SACV12-1179 (C.D. Cal.) On July 19, 2012, the SEC announced insider trading charges against Monouchehr Moshayedi in connection with the sale of nine million shares of stock in STEC, Inc. (“STEC”) in August 2009. Moshayedi is a founder, and … Continue reading
Posted in Securities
Tagged Fraud, Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Charges Mizuho Securities USA With Misleading Investors By Obtaining False Credit Ratings for Collateralized Debt Obligation.
SEC v. Mizuho Securities USA Inc., Case No. 12-cv-5550 (S.D.N.Y); In the Matter of Alexander V. Rekeda, Admin. Proc. No. 3-14953; In the Matter of Xavier Capdepon and Gwen Snorteland, Admin. Proc. No. 3-14954; In the Matter of Delaware Asset Advisers … Continue reading
Senators Are Seeking Tougher Penalties For Wall Street
Two U.S. Senators plan to introduce a bill that would increase the fines that the SEC can impose on Wall Street.
SEC Announces Deferred Prosecution Agreement with Amish Fund
On July 18, 2012, the SEC announced a deferred prosecution agreement with a non-profit corporation that offers securities to fund mortgage and construction loans to young Amish families in Ohio. The agreement with the non-profit, Amish Helping Fund (“AHF”), hopes … Continue reading
Brothers Jeffrey and Robert Wolfson Agree to Pay $14.5 Million to Settle SEC Charges of Reg. SHO Violations
In the Matter of Jeffrey A. Wolfson et al., Admin. Proc. No. 3-14726. On July 17, 2012, the SEC announced that brothers Jeffrey A. Wolfson and Robert A. Wolfson, both charged earlier this year with short selling violations, agreed to … Continue reading
SEC Charges Apparao Mukkamala, Suresh Anne, Jitendra Prasad Katneni, Mallikarjunarao Anne, and Rao A.K. Yalamanchili With Insider Trading
United States Securities and Exchange Commission v. Apparao Mukkamala, et al., Case No. 12-cv-13020 (E.D. Mich. July 10, 2012). On July 10, 2012, the SEC filed settled insider trading charges against five physicians. Between March and July 2010, Mukkamala served … Continue reading
SEC Charges Peter Madoff Charged with Fraud
Securities and Exchange Commission v. Peter B. Madoff, Case No. 12-civ-5100. On June 29, 2012, the SEC charged Peter Madoff, brother of Bernie Madoff, with fraud, making false statements to regulators, and falsifying books and records. Madoff served as Chief … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Charges Equity Research Firm Founder Tai Nguyen with Insider Trading
Securities and Exchange Commission v. Tai Nguyen, Case No. 12-CIV-5009 (S.D.N.Y.). On June 26, 2012 the SEC charged Tai Nguyen, owner of equity research firm Insight Research, with insider trading. The Nguyen case stems from the SEC’s investigation of “expert … Continue reading
Posted in Securities
Tagged Fraud, Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Charges Aubrey Lee Price With Fraud and Freezes His Assets
Securities And Exchange Commission v. Aubrey Lee Price; PFG, LLC; PFGBI, LLC; Montgomery Asset Management, LLC f/k/a PFG Asset Management, LLC, (Florida limited liability company); and Montgomery Asset Management, LLC f/k/a PFG Asset Management, LLC, (Georgia limited liability company), Case No. … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Charges 14 Sales Agents in $415 million Ponzi Scheme
SEC v. Bryan Arias et al., Case No. CV12-2937 (E.D.N.Y.). On June 12, 2012, the SEC charged 14 sales agents who misled investors and illegally sold securities for a Long Island-based investment firm at the center of a $415 million … Continue reading
Securities Enforcement Blog 