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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 Charges Monouchehr Moshayedi With Insider Trading
SEC v. Monouchehr Moshayedi, Case No. SACV12-1179 (C.D. Cal.) On July 19, 2012, the SEC announced insider trading charges against Monouchehr Moshayedi in connection with the sale of nine million shares of stock in STEC, Inc. (“STEC”) in August 2009. Moshayedi is a founder, and … Continue reading
Posted in Securities
Tagged Fraud, Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Charges Mizuho Securities USA With Misleading Investors By Obtaining False Credit Ratings for Collateralized Debt Obligation.
SEC v. Mizuho Securities USA Inc., Case No. 12-cv-5550 (S.D.N.Y); In the Matter of Alexander V. Rekeda, Admin. Proc. No. 3-14953; In the Matter of Xavier Capdepon and Gwen Snorteland, Admin. Proc. No. 3-14954; In the Matter of Delaware Asset Advisers … Continue reading
SEC Charges Peter Madoff Charged with Fraud
Securities and Exchange Commission v. Peter B. Madoff, Case No. 12-civ-5100. On June 29, 2012, the SEC charged Peter Madoff, brother of Bernie Madoff, with fraud, making false statements to regulators, and falsifying books and records. Madoff served as Chief … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Charges FalconStor Software with Bribery
Securities and Exchange Commission v. FalconStor Software, Inc., Case No. 12-3200 (DRH) (E.D.N.Y). On June 27, 2012, the SEC charged FalconStor Software, Inc., a data storage company, with misleading investors about bribes it paid to obtain business with a J.P. Morgan … Continue reading
SEC Charges Equity Research Firm Founder Tai Nguyen with Insider Trading
Securities and Exchange Commission v. Tai Nguyen, Case No. 12-CIV-5009 (S.D.N.Y.). On June 26, 2012 the SEC charged Tai Nguyen, owner of equity research firm Insight Research, with insider trading. The Nguyen case stems from the SEC’s investigation of “expert … Continue reading
Posted in Securities
Tagged Fraud, Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Charges Aubrey Lee Price With Fraud and Freezes His Assets
Securities And Exchange Commission v. Aubrey Lee Price; PFG, LLC; PFGBI, LLC; Montgomery Asset Management, LLC f/k/a PFG Asset Management, LLC, (Florida limited liability company); and Montgomery Asset Management, LLC f/k/a PFG Asset Management, LLC, (Georgia limited liability company), Case No. … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Charges Wayne Palmer and National Note of Utah with $100 Million Real-Estate Based Ponzi Scheme
Securities and Exchange Commission v. National Note of Utah, LC and Wayne LaMar Palmer, Case No. 2:12-cv-00591. On June 25, 2012, the SEC obtained a temporary restraining order and asset freeze against Wayne L. Palmer and his firm, National Note … Continue reading
SEC Charges 14 Sales Agents in $415 million Ponzi Scheme
SEC v. Bryan Arias et al., Case No. CV12-2937 (E.D.N.Y.). On June 12, 2012, the SEC charged 14 sales agents who misled investors and illegally sold securities for a Long Island-based investment firm at the center of a $415 million … Continue reading
SEC Charges Richard DeMaria in $4 million Prime Bank Scheme
SEC v. Richard DeMaria, Case No. 1:12-cv-04145 (N.D. Ill.). On May 30, 2012, the SEC charged Chicago-area resident Richard DeMaria with fraud, alleging that he operated a prime bank scheme that defrauded at least thirteen investors out of approximately $4.3 million. … Continue reading
SEC Settles With Hedge Fund Adviser Charged With Misleading Investors
In the Matter of Quantek Asset Management, LLC, Bulltick Capital Markets Holdings, LP, Javier Guerra, and Ralph Patino, AP File No. 3-14893. On May 29, 2012, the SEC issued an Order Instituting Administrative and Cease-And-Desist Proceedings against Quantek, Bulltick, Guerra and Patino. … Continue reading
Posted in Securities
Tagged Hedge Fund, Investment Advisers Act, SEC, Securities Act
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Securities Enforcement Blog 