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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 David M. Connolly in Multi-Million Dollar Real Estate Investment Scam
SEC v. David M. Connolly, Case No. 2:12-cv-02952-WJM-MF (D.N.J.) On May 17, 2012, the SEC charged David Connolly with operating a multi-million-dollar Ponzi-like scheme involving a series of investment vehicles formed for the purpose of purchasing and managing real estate … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges Northern California Investment Adviser in $60 Million Ponzi Scheme
SEC v. GLR Capital Management, LLC, et al., Case No. CV 12-2663 HRL. Yesterday, the SEC charged John A. Geringer of running a $60 million investment fund like a Ponzi scheme. Geringer, who managed the GLR Growth Fund, misled investors … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Files Insider Trading Charges Against Former Yahoo Executive and Ameriprise Mutual Fund Manager
SEC v. Reema D. Shah and Robert W. Kwok, Civil Action No. 12-CV-4030 (ALC) (S.D.N.Y.). On May 22, 2012, the SEC announced insider trading charges against Robert W. Kwok, former Senior Director of Business Management at Yahoo! Inc., and Reema D. Shah, … Continue reading
SEC Charges Fund Manager for Secretly Diverting Funds to His Own Companies
SEC v. Mark F. Spangler and The Spangler Group, Inc., Case No. 2:12-cv-00856 (D. Wash.). On May 17, 2012, the SEC announced that it filed an action against Mark Spangler, a former chairman of the National Association of Personal Financial … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Exchange Act
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SEC Charges Recidivist in $35 Million International Boileroom Scheme
SEC v. Nicholas Louis Geranio, et al., Case No. CV-12-4257-DMG (JCx) (C. D. Cal.). On May 16, 2012, the SEC announced that it filed an action against SEC recidivist Nicholas Louis Geranio, Keith Michael Field, The Good One, Inc. and … Continue reading
SEC Settles Regulation FD Case Against Former CEO of Presstek, Inc. for $50,000 Civil Monetary Penalty
EC v. Presstek, Inc. and Edward J. Marino, Case No. 1:10-cv-10406 (D. Mass.). On May 15, 2012, the SEC announced that Edward J. Marino agreed to settle the SEC’s charges that he aided and abetted Presstek’s violations of Section 13(a) … Continue reading
SEC Files Litigated Action Against China Natural Gas, Inc. and Its Chairman and Former CEO
SEC v. China Natural Gas, Inc. and Qinan Ji, Case No. 12-cv-3824 (PGG). The SEC filed suit on May 14 in the U.S. District Court for the Southern District of New York against China-based China Natural Gas, Inc. and its … Continue reading
Securities Enforcement Blog 