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 Yan-qing Liu With Fraud For Bolstering Financial Results With Fake Sales
SEC v. China Sky One Medical, Inc. and Yan-qing Liu, Case No. CV12-7543 MWF (MANx) (C.D. Cal.). On September 4, 2012, the SEC charged China-based China Sky One Medical, Inc. (“CSKI”) and its CEO and chairman Yan-qing Liu with fraud. CSKI claimed in public … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, Internal Controls, SEC, Securities Act, Securities Exchange Act
Leave a comment
Hedge Fund Manager James F. Turner And His Firm Ordered to Disgorge $2 Million In Profits From Insider Trading
Securities and Exchange Commission v. Clay Capital Management, LLC, et al., Case No. 2:11-cv-05020-DMC-JAD (D.N.J.). On August 29, 2012, the SEC announced it obtained final judgments against Clay Capital Management, LLC and its former Chief Investment Officer, James F. Turner II, … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, Insider Trading, SEC, Securities Act, Securities Exchange Act
Leave a comment
SEC Charges Brokers Fabrizio Neves and Jose Luna for Defrauding Brazilian Public Pension Funds
Securities and Exchange Commission v. Fabrizio Neves, et al., Case No. 1:12-cv-23131 (S.D. Fla.). On August 29, the SEC filed fraud charges against former Miami brokers Fabrizio Neves and Jose Luna. Neves and Luna were involved in a scheme to … Continue reading
SEC Files Fraud Action Robert L. Kelly and Wwebnet, Inc.
Securities and Exchange Commission v. Wwebnet, Inc. and Robert L. Kelly, Case No. 12-CV-6581 (S.D.N.Y.). On August 28, the SEC announced fraud charges against Wwebnet, Inc. and its CEO Robert Kelly. Kelly solicited investments from investors to purchase stock issued … Continue reading
SEC Files Settled Fraud Action Against Hedge Fund Manager Gary R. Marks
Securities and Exchange Commission v. Gary R. Marks, CV-12-4486-JSC (N.D. Cal.). On August 27, the SEC announced it had filed a settled action against Gary R. Marks. Marks managed various fund of funds hedge funds through Sky Bell Asset Management, … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, Investment Advisers Act, SEC, Securities Act
Leave a comment
SEC Charges Edward Bronson And His Firm In Penny Stock Scheme
Securities and Exchange Commission v. Edward Bronson, et al., Case No. 12-CV-6421 (S.D.N.Y.). On August 22, the SEC charged Edward Bronson and his company, E-Lionheart Associates LLC, in a penny stock scheme. Bronson and E-Lionheart employees would makes cold calls … Continue reading
Posted in Securities
Tagged Penny Stock, SEC, Securities Act, Unregistered Securities Transactions
Leave a comment
SEC Files Action Against Paul Burks and ZeekRewards.com to Halt $600 Million Ponzi Scheme
SEC v. Rex Venture Group LLC et al., Case No. 3:12-CV-519 (W.D. N. Carolina). It seems as though we are reading about a new Ponzi scheme almost every day. On August 22, the SEC announced it filed a settled action … Continue reading
SEC Charges Ricardo Rojas in $7 Million Ponzi Scheme Targeting Evangelical Christians
SEC v. Ricardo Bonilla Rojas and Shadai Yire, Inc., Case No. 12-cv-1681 (D.P.R.). On August 21, the SEC announced fraud charges against Ricardo Rojas and his firm Shadai Yire. Rojas and his sales agents solicited investors claiming the investments were a risk-free … Continue reading
SEC Charges College Football Hall of Fame Coach James M. Donnan, III, and Gregory L. Crabtree in $80 Million Ponzi Scheme
Securities and Exchange Commission v. James M. Donnan, III, et al., Case No. 1:12-CV-02831-ODE (N.D. Ga.). On August 17, 2012, the SEC announced fraud charges against College Football Hall of Fame coach and ESPN sports commentator James Donnan and Gregory … Continue reading
SEC Charges Yossef Kahlon For Unregistered Stock Sales of $7.7 Million
Securities and Exchange Commission v. Yossef Kahlon, et al., Civil Action No. 4:12-CV-517 (E.D. Tex.) On August 17, 2012, the SEC announced charges against Jossef Kahlon, a/k/a/ Yossef Kahlon and TJ Management Group, LLC (“TJM”) for selling the stock of … Continue reading
Posted in Securities
Tagged SEC, Securities Act, Unregistered Securities Transactions
Leave a comment
Securities Enforcement Blog 