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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 Attorney Robert A. Gist with Stealing $5.4 Million from Investors
SEC v. Robert A. Gist et al., Case No. 1:13-cv-01833 AT. On May 31, 2013, the SEC announced it charged attorney Robert A. Gist and Gist, Kennedy & Associates, Inc. (“Gist Kennedy”), a company that Gist controls, with defrauding investors … Continue reading
SEC Charges Total S.A. With FCPA Violations for Payments to Iranian Official
In the Matter of Total S.A., SEC Admin. Proc. No. 3-15338. On May 29, 2013, the SEC announced it filed a settled administrative proceeding against Total S.A. for violating the FCPA by paying $60 million in bribes to associates of … Continue reading
SEC Charges Daniel Bergin with Front Running
SEC v. Daniel Bergin, et al., Case No. 3:13-cv-1940 (D. TX.). On May 24, 2013, the SEC announced it filed an emergency action and obtained an asset freeze against Daniel Bergin, an equity trader at Cushing MLP Asset Management. According … Continue reading
Posted in Securities
Tagged Fraud, Investment Company Act, SEC, Securities Exchange Act
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SEC Charges China-based Executives Dejun “David” Zou and Jianping “Amy” Qiu with Stealing Money and Overstating Revenues
SEC v. RINO International Corporation, et al., Case No. 1:13-cv-00711 (D.D.C). On May 15, 2013, the SEC announced it filed fraud charges against China-based RINO, Corp., its former CEO, Dejun “David” Zou, and its chairman of the board, Jianping “Amy” … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, SEC, Securities Act, Securities Exchange Act
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SEC Charges China-based Sabuye, Inc. and former CFO James T. Crane with Fraud
SEC v. Subaye, Inc. and James T. Crane, Case No. 13-civ-3114 (S.D.N.Y). On May 8, 2013, the SEC announced it filed fraud charges against China-based Subaye, Inc. and its former CFO, James T. Crane. According to the SEC, Subaye purported … Continue reading
SEC Charges Traders in Illegal Kickback Scheme
SEC v. Thomas Alberto Clarke Bethancourt et al, Case No. 13-cv-3074 (S.D.N.Y). On May 6, 2013, the SEC announced it filed fraud charges against Tomas Alberto Clarke Bethancourt, Iuri Rodolfo Bethancourt, Jose Alejandro Hurtado, and Haydee Leticia Pabon. The SEC … Continue reading
Posted in Securities
Tagged Broker-Dealer, Fraud, SEC, Securities Act, Securities Exchange Act
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SEC Charges the City of Harrisburg with Securities Fraud
In the Matter of the City of Harrisburg, Pennsylvania, Admin. Proc. File No. 3-15316. On May 6, 2013, the SEC announced it filed a settled administrative proceeding against the City of Harrisburg. The SEC’s Order finds that Harrisburg is virtually … Continue reading
Level Global Settles SEC Insider Trading Case for $21.5 Million
SEC v. Adondakis et al., Case No. 12 Civ. 0409 HB (S.D.N.Y). On April 30, 2013, the SEC announced it settled insider trading charges against Level Global Investors LP. In January 2012, the SEC filed insider trading charges against Level … Continue reading
Posted in Securities
Tagged Hedge Fund, illegal trades, Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Sues the City of Victorville, California and Others for Defrauding Municipal Bond Investors
SEC v. City of Victorville et al., Case No. EDCV13-0776 JAK (DIBx). On April 29, 2013, the SEC announced charges against the City of Victorville, Calif., the Southern California Logistics Airport Authority, Kinsell, Newcomb & DeDios (“KND”), Jeffrey Kinsell, Janees … Continue reading
Posted in Securities
Tagged Fraud, municipal bonds, SEC, Securities Act, Securities Exchange Act
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SEC Announces Non-Prosecution Agreement with Ralph Lauren Corporation Related to FCPA Misconduct
On April 22, 2013, the SEC announced it entered into a non-prosecution agreement (“NPA”) with Ralph Lauren Corporation. The SEC decided not to charge the company with FCPA violations because of the company’s extensive cooperation. This is the SEC’s first … Continue reading
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