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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 Diebold with FCPA Violations in China, Indonesia and Russia
SEC v. Diebold, Inc., Case No. 1:13-cv-01609 (D.D.C.). On October 22, 2013, the SEC announced it filed a settled Foreign Corrupt Practices Act case against ATM maker Diebold, Inc. According to the SEC, Diebold, through its Chinese subsidiary, gave European … Continue reading
SEC Charges China-based Yuhe International, Inc. and its CEO Gao Zhentao with Fraud
SEC v. Yuhe International, Inc., and Gao Zhentao, Case No. 1:13-cv-01598-RCL (D.D.C.). On October 18, 2013, the SEC announced fraud charges against Yuhe International, Inc.(“Yuhe”), a China-based provider of broiler chickens, and its Chief Executive Officer, Gao Zhentao (“Gao”). According … Continue reading
SEC Charges Michael Enea with Operating a Ponzi Scheme
SEC v. Michael R. Enea, Case No. 2:13-cv-01151 (E.D. Wis.). On October 11, 2013, the SEC announced fraud charges against Michael R. Enea. According to the SEC, Enea ran a Ponzi scheme from 2006 to 2013 in which he sold … Continue reading
SEC Settles with Previously Unknown Insider Traders Michel and Rodrigo Terpins
SEC v. Michel Terpins and Rodrigo Terpins, Case No. 13-cv-1080 JSR (S.D.N.Y.). On October 10, 2013, the SEC announced that brothers Michel and Rodrigo Terpins have agreed to pay almost $5 million to settle insider trading charges for trading in … Continue reading
SEC Launches Market Structure Data and Analysis Website
On October 9, 2013, the SEC announced the launch of its new website that will share data, research and analysis related to the market structure. The new website will be a central repository for information that used to be accessible … Continue reading
Mark Cuban Tells His Side of the Story in Insider Trading Trial
Mark Cuban tells his side of the story in the high-profile SEC trial.
SEC Charges Brett Cooper in Prime Investment Fraud and Also Sues Attorney David Frederickson Who Served as Escrow Agent
Securities and Exchange Commission v. Brett A. Cooper, Global Funding Systems LLC, Dream Holdings, LLC, Fortitude Investing, LLC, Peninsula Waterfront Development, LP, and REOP Group Inc., Case No. 1:13-cv-05781-RMB-AMD (D.N.J.); SEC v. David H. Frederickson and The Law Offices of … Continue reading
Posted in Securities
Tagged Broker-Dealer, Fraud, SEC, Securities Act, Securities Exchange Act
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SEC Charges Jenny Coplan in Affinity Fraud and Ponzi Scheme
SEC v. Jenny E. Coplan, Case No. 1:13-cv-62127 (S.D. Fla.). On September 30, 2013, the SEC announced charges against Jenny E. Coplan for allegedly conducting a Ponzi scheme and affinity fraud that targeted the Colombian-American community. According to the SEC, … Continue reading
SEC.gov | SEC Awards More Than $14 Million to Whistleblower
SEC.gov | SEC Awards More Than $14 Million to Whistleblower.
SEC Charges Thought Development, Inc. and its Owner Alan Amron with Registration Violations
SEC v. Thought Development, Inc. and Alan Amron, Case No. 1:13-cv-23476 (S.D. Fla.). On September 26, 2013, the SEC announced charges against Thought Development, Inc. (“TDI”) and its founder and chairman Alan Amron with violations Sections 5(a) and 5(c) of … Continue reading
Posted in Securities
Tagged SEC, Securities Act, Unregistered Securities Transactions
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Securities Enforcement Blog 