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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 Advisory Firm Owner Tibor Klein and Stockbroker Michael Shechtman with Insider Trading Ahead of Merger Announcement
SEC v. Tibor Klein and Michel R. Shechtman, Case No. 9:13-cv-80954 (S.D. Fla.). On September 20, 2013, the SEC announced insider trading charges against Tibor Klein, president of Klein Financial Services and his stockbroker friend Michael Shechtman. The SEC alleges … Continue reading
SEC Charges Benjamin S. Staples and his Son Benjamin O. Staples with Profiting from Terminally Ill Patients
SEC v. Benjamin S. Staples and Benjamin O. Staples, Case No. 3:13-2575-MBS. On September 20, 2013, the SEC announced fraud charges against Benjamin S. Staples and Benjamin O. Staples. The SEC alleges that the Stapleses lured terminally ill people into … Continue reading
JPMorgan Pays $200 Million to Settle Charges Related to its London Whale Trading Loss and is Forced to Admit Wrongdoing
In the Matter of JPMorgan Chase & Co., Admin. Proc. File No. 3-15507. On September 19, 2013, the SEC announced it issued a settled Order Instituting Proceedings (“OIP”) against JPMorgan Chase & Co. According to the OIP, the Sarbanes-Oxley Act … Continue reading
SEC Charges Money Manager Frederick Scott with Defrauding Investors
SEC v. Frederick D. Scott, Case No. CV 13-5113 (E.D.N.Y.). On September 13, 2013, the SEC announced fraud charges against Fredrick D. Scott whose firm ACI Capital Group was registered as an investment adviser. In a parallel criminal action, the … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Obtains Emergency Relief against Investment Adviser Paul Marshall for Misappropriating Client Funds
SEC v. Paul Marshall, Bridge Securities, LLC a/k/a Bridge Financial, Bridge Equity, Inc. and FOGFuels, Inc., Case No. 1:13-CV-3032 (N.D. Ga.). On September 12, 2013, the SEC announced it filed an action seeking a temporary restraining order and other emergency … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Defendant Indicted in $30 Million Ponzi Scheme
SEC v. Creative Capital Consortium, LLC, et al., Case No. 08-81565-CIV-HURLEY. On September 10, 2013, the SEC announced that the U.S. Attorney’s Office for the Southern District of Florida filed a 40-count indictment against George Louis Theodule.
SEC Files Settled Action against Brian Elrod and Nova Dean Pack in Fraudulent Promissory Note Offering
SEC v. Brian G. Elrod and Nova Dean Pack, Case No. 13-CV-02449WYD (D. Colo.). On September 9, 2013, the SEC announced it filed settled fraud charges against Brian G. Elrod in connection with a promissory note offering for which Nova … Continue reading
SEC Charges Brandt A. Lawler, Michael S. Lawler, Ryan G. Lawler, Timothy J. Lawler, and Pamela Hass in Offering Fraud
SEC v. Projaris Management, LLC et al., Case No. 1:13-cv-00849 (D.N.M.). On September 9, 2013, the SEC announced fraud charges against Projaris Management, LLC, Victory Partners Financial, Joe G. Lawler, Brandt A. Lawler, Michael S. Lawler, Ryan G. Lawler, Timothy … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Gets Emergency Relief Prime Bank Scheme
SEC v. Bernard H. Butts, et al., Case No. 13-23115-CIV-MARTINEZ (S.D. Fla.). On September 9, 2013, the SEC announced that it has obtained an emergency asset freeze and temporary restraining order in connection with a prime bank investment scheme. According to … Continue reading
SEC Charges Former JPMorgan Traders Javier Martin-Artajo and Julien Grout with Fraud
SEC v. Javier Martin-Artajo and Julien G. Grout, Case No. 13-cv-5677 (S.D.N.Y.). On August 14, 2013, the SEC announced fraud charges against Traders Javier Martin-Artajo and Julien Grout, former traders at JPMorgan Chase & Co. In a parallel action, the … Continue reading
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