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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 Sandeep Aggarwal With Tipping S.A.C. Capital Portfolio Manager
SEC v. Richard Lee and Sandeep Aggarwal, Case No. 13-cv-5185 RMB (S.D.N.Y.). On July 30, 2013, the SEC announced it amended the complaint filed last week against S.A.C. portfolio manager Richard Lee to add charges that Sandeep Aggarwal tipped Lee. … Continue reading
SEC Approves JOBS Act Requirement to Lift General Solicitation Ban
On July 10, 2013, by a 4-1 vote, the SEC eliminated the prohibition of general solicitations and advertisings for securities offerings exempt from the SEC’s registration requirement. The new rules become final 60 days after publication in the federal register. … Continue reading
SEC Freezes Assets of Kevin G. White in Alleged Forex Trading Scam
SEC v. Kevin G. White et al., Case No. 4:13-cv-00383 RAS (E.D. Tex.). On July 12, 2013, the SEC announced it obtained an emergency court order to freeze the assets of Kevin G. White and his companies. The Commodity Futures … Continue reading
Posted in Securities
Tagged CFTC, Forex, Fraud, SEC, Securities Act, Securities Exchange Act
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SEC Freezes Assets of Insider Traders in Onyx Pharmaceuticals Options
SEC v. One or More Unknown Traders in the Securities of Onyx Pharmaceuticals, Inc., Case No. 13 CIV 4645 (S.D.N.Y.). On July 9, 2013, the SEC announced it obtained an emergency court order to freeze the assets of traders using … Continue reading
SEC Obtains Emergency Freeze in Connection with Illegal Sales of Biozoom Stock
SEC v. Magdalena Tavella et al., Case No. 13 CIV 4609 (S.D.N.Y.). On July 3, 2013, the SEC announced charges against eight Argentine citizens for selling millions of shares of Biozoom. The SEC also obtained an emergency order to freeze … Continue reading
Posted in Securities
Tagged SEC, Securities Act, Unregistered Securities Transactions
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SEC Charges Medical Imaging Device Company Imaging3 and its Founder Dean Janes with Fraud
SEC v. Imaging3, Inc. & Dean Janes, Case No. CV13-04616 GAF (AJWx) (C.D. Cal.). On June 26, 2013, the SEC announced it filed fraud charges against Imaging3, Inc. and its founder Dean Janes. Janes held a conference call with investors … Continue reading
SEC Charges Robert Hurd and His Company in Investment Scheme Touting Alzheimer’s Treatment
SEC v. Robert Hurd, Your Best Memories International Inc. and Kenneth Gross, Case No. 13-CV-04464-RGK (JCGx) (C.D. Cal.). On June 21, 2013, the SEC announced it filed charges against Your Best Memories International Inc. and its president, Robert Hurd for fraud. … Continue reading
SEC Settles Insider Trading Case with former Yahoo Executive Robert Kwok
SEC v. Reema D, Shah and Robert W, Kwok, Case No. 12-cv-430 (S.D.N.Y.). On June 12, 2013, the SEC announced it settled insider trading charges against former Yahoo executive Robert Kwok in a case filed last year. The SEC alleged … Continue reading
SEC Charges Revlon, Inc. for Misleading Shareholders When Going Private
In the Matter of Revlon, Inc., Admin. Proc. No. 3-15356. On June 13, 2013, the SEC announced it filed settled administrative charges against Revlon for misleading shareholders in connection with a “going private transaction.” A going private transaction is essentially … Continue reading
SEC Charges Ernesto Lujan in Connection with Kickback Scheme
SEC v. Bethancourt et al., Case No. 13-cv-3074 (S.D.N.Y.). On June 12, 2013, the SEC announced it filed an amended complaint adding Ernesto Lujan, former head of the Miami office of brokerage firm Direct Access Partners (“DAP”). Last month, the … Continue reading
Securities Enforcement Blog 