Contributors
-
Recent Posts
- 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
Archives
Categories
Meta
Other BraunHagey Blogs
-
Tag Archives: Securities Act
SEC Charges Rondald Wheet and Revolutions Medical Corp. For False Statements About The Company’s Medical Safety Syringe
SEC v. Revolutions Medical Corp. and Rondald L. Wheet, Case No. 1:12-cv-03298-TCB (N.D. Ga.). On September 21, 2012, the SEC announced charges against Revolutions Medical Corp. (“Revolutions Medical”) and its CEO, Rondald L. Wheet (“Wheet”). The case concerns Revolutions Medical’s … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, SEC, Securities Act, Securities Exchange Act
Leave a comment
SEC Charges Hedge Fund Manager Yusaf Jawed in $37 Million Ponzi Scheme
SEC v. Yusaf Jawed, Grifphon Asset Management, LLC, et al; Case No. 12-1696 (D. Ore.); SEC v. Jacques Nichols, Case No. 12-1698 (D. Ore.); SEC v. Lyman Bruhn, et al., Case No. 12-1697 (D. Ore.). On September 21, 2012, the SEC … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
Leave a comment
SEC Charges Hedge Fund Manager Angelo Alleca With Running a Ponzi-Like Scheme
SEC v. Angelo A. Alleca, et al., Case No. 1:12-cv-03261-WSD (N.D. Ga.). On September 19, 2012, the SEC announced fraud charges against hedge fund manager Angelo A. Alleca and his investment advisory firm, Summit Wealth Management, Inc. and three funds he operated … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
Leave a comment
SEC Charges Bruce Cole, Former CEO of Mamtek With Fraud in the Offer and Sale of Municipal Bonds
SEC v. Bruce Cole and Nanette Cole, Case No. CV 12-8024 ABC (SHx) (C.D. Cal.). On September 18, 2012, the SEC announced fraud charges against Bruce Cole, the former CEO and chairman of Mamtek U.S. The case concerns a fraud scheme … Continue reading
Posted in Securities
Tagged Fraud, municipal bonds, SEC, Securities Act, Securities Exchange Act
Leave a comment
SEC Obtains Judgments Of More Than $135 Million in “Green” Ponzi Scheme
SEC v. Mantria Corporation, Troy B. Wragg, Amanda E. Knorr, Speed of Wealth, LLC, Wayde M. McKelvy, and Donna M. McKelvy, Case No. 09-cv-02676-CMA-MJW (D. Colo.). On September 18, 2012, the SEC announced it obtained final judgments against Troy B. Wragg, Amanda E. … Continue reading
SEC Obtains Asset Freeze and Temporary Restraining Order Against Michael Borish and Michael Ciarlone
SEC v. Freedom Environmental Services, Inc., et al., Case No.: 6:12-CV-1415-ORL-28-DAB (M.D. Fl.). On September 17, 2012, the SEC announced it had obtained a temporary restraining order, asset freeze and appointment of a receiver to preserve assets. The SEC charged Michael … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, Internal Controls, SEC, Securities Act, Securities Exchange Act
Leave a comment
SEC Charges Stephen Blankenship and His Company With Stealing $600,000 From Customers
SEC v. Deer Hill Financial Group, LLC and Stephen B. Blankenship, Case No. 3:12-cv-01317 (D. Conn.) On September 13, 2012, the SEC announced it charged Stephen Blankenship and his company with stealing $600,000 from customers. Most of the investors deceived … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
Leave a comment
SEC Settles With ICP Asset Management and Others on Charges They Defrauded Collateralized Debt Obligations They Managed
Securities and Exchange Commission v. ICP Asset Management, LLC, ICP Securities, LLC, Institutional Credit Partners, LLC, Thomas C. Priore, Lori A. Priore, and Bertrand H. Smyers, Case No. 10-CV-4791 (S.D.N.Y.). On September 10, 2012, the SEC announced advisory firm ICP … Continue reading
SEC Obtains Temporary Asset Freeze and Restraining Order Against Louis Schooler and His Company in $50 Million Fraud Scheme
Securities and Exchange Commission v. Louis V. Schooler and First Financial Planning Corporation d/b/a Western Financial Planning Corporation, Case No. 12 CV 2164 LAB (JMA) (S.D. Cal.). On September 10, 2012, the SEC announced it obtained an asset freeze against … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
Leave a comment
SEC Charges Hyung Lim With Insider Trading For Tipping Hedge Fund Manager
SEC v. Hyung Lim, Case No. 12-CV-6707 (S.D.N.Y.). On September 4, 2012, the SEC charged Hyung Lim with insider trading. Lim obtained information about Nvidia Corporation’s quarterly earnings announcements from a friend who worked there. Lim would then tip hedge … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, illegal trades, Insider Trading, SEC, Securities Act, Securities Exchange Act
Leave a comment
Securities Enforcement Blog 