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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: Securities Act
SEC Obtains Emergency Asset Freeze Against Michael Turnock and William Sullivan in $15 Million Ponzi Scheme
Securities and Exchange Commission v. Bridge Premium Finance, LLC, Michael J. Turnock and William P. Sullivan, II, Defendants, 12-CV-6221 (D. Colo.). On August 15, 2012, the SEC announced fraud charges and an emergency asset freeze against Bridge Premium Finance LLC, … Continue reading
SEC Files Settled Action Against Mark Gasarch And His Company In $8 Million Offering Fraud Scheme
Securities and Exchange Commission v. Petro-Suisse Ltd. and Mark Gasarch, 12-CV-6221 (S.D.N.Y.). On August 14, 2012, the SEC charged Mark Gasarch and Petro-Suisse Ltd. with offering fraud. The case concerns limited partnership offerings that Defendants promoted in order to finance … Continue reading
SEC Charges Ivan Wade Brown And His Companies In $27 Million Fraud
Securities and Exchange Commission v. Avanti Capital Partners, LLC, et al., 2:12-cv-788-BCW (D. Utah). On August 13, 2012, the SEC filed charges against Ivan Wade Brown and his two companies: Highland Residential, LLC and Avanti Capital Partners, LLC (Avanti). This … Continue reading
SEC Charges Thomas D. Coldicutt, Jr. And Five Others In $6 Million Scheme
Securities and Exchange Commission v. Thomas D. Coldicutt, Jr., et al., 4:12-cv-00505 (E.D. Tex.). On August 13, 2012, the SEC filed charges against Thomas D. Coldicutt, Jr., Elizabeth L. Coldicutt, Robert C. Weaver, Jr., Christopher C. Greenwood, Linda S. Farrell, … Continue reading
SEC Charges Edward M. Laborio In Boiler Room Scheme
Securities and Exchange Commission v. Edward M. Laborio, Jonathan Fraiman, Matthew K. Lazar, Envit Capital, LLC, Envit Capital Group, Inc., Envit Capital Holdings, Inc., Envit Capital Private Wealth Management, LLC, Envit Capital Multi Strategy Mixed Investment Fund I LP, Aetius … Continue reading
SEC Files Settled Fraud Action Against Kristoffer Krohn, Michael Krohn, Stephen Earl and their Real Estate Investment Company
SEC v. The Companies (TC), LLC et al., Case No. 2:12-cv-00765-DN (D. Utah). On August 7, 2012, the SEC announced the filing of a settled action against The Companies (TC) and its principals Kristoffer Krohn, Stephen Earl and Michael Krohn. … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Unregistered Securities Transactions
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SEC Charges Bristol-Myers Squibb Co. Executive Robert Ramnarine With Insider Trading
SEC v. Robert D. Ramnarine, Case No. 2:12-cv-04837-SDW-MCA. On August 2, 2012, the SEC announced insider trading charges against Robert Ramnarine, a high-level executive in the treasury department at Bristol-Myers Squibb Co. After getting material nonpublic information regarding the potential … Continue reading
Posted in Securities
Tagged bristol myers squibb, Fraud, illegal trades, Insider Trading, ramnarine, SEC, Securities Act, Securities Exchange Act
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SEC Charges Fund Manager Peter Siris and Others With Fraud Related to Chinese Reverse Merger Company
SEC v. Peter Siris, et al.; SEC v. Alan Sheinwald, et al.; In the Matter of Peter Dong Zhou; In the Matter of Stephen Mazuchowski (A/K/A Steve Mazur); In the Matter of James Fuld, Jr. On July 30, 2012, the … Continue reading
SEC Charges Emanuel Sarris and His Firm in $30 Million Ponzi Scheme
SEC v. Emanuel L. Sarris, Sr., et al., Case No. 12-cv-04272-TON (N.D. Pa.). On July 30, 2012, the SEC announced fraud charges against Sarris and his firm Sarris Financial Group, Inc. (“Sarris Financial”) for their role in a Ponzi scheme … Continue reading
SEC Files Settled Offering Fraud Action Against Michael Bodanza
SEC v. Michael A. Bodanza, et al., Case No. 1:12-cv-1954 (N.D. Ohio). On July 30, 2012, the SEC announced the filing of a settled civil action against Michael Bodanza, the former CFO and founding member of Preferred Financial Holdings Co., … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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Securities Enforcement Blog 