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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 and U.S. Attorney Charge Multiple Company Officers and Penny Stock Promoters in Kickback and Manipulation Schemes
SEC v. Yan K. Skwara and US Farms, Inc., Case No. 0:12-cv-61078-JAL (S.D. Fl.); SEC v. Douglas D. Hague and Clean Coal Technologies, Inc., Case No. 0:12-cv-61076-WJZ (S.D. Fl.); SEC v. Joseph J. Repko, Michael M. Cimino, and Sure Trace … Continue reading
Posted in Securities
Tagged Fraud, Market Manipulation, Penny Stock, SEC, Securities Act, Securities Exchange Act
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Oppenheimerfunds Agrees to Pay $35 Million to Settle SEC Charges for Misleading Statements During Financial Crisis
In the Matter of Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc., AP File No. 3-14909. On June 6, 2012, the SEC issued an Order Instituting Cease-And-Desist Proceedings against Oppenheimerfunds, Inc. (“OFI”) and Oppenheimerfunds Distributor, Inc. (“OFDI”) for making misleading statements about … Continue reading
Posted in Securities
Tagged Fraud, Investmeant Company Act, Investment Advisers Act, SEC, Securities Act
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SEC Charges Investment Advisers Jorge Gomez and Roberto Aleph Espinosa With Fraud
SEC v. Jorge Gomez and Roberto Aleph Espinosa, Case No. 1:12-CV-21962 (S.D. Fl.). On May 29, 2012, the SEC charged Jorge Gomez, an investment adviser, with perpetrating a fraudulent scheme to misappropriate millions from an investment advisory client. The SEC … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Obtains Order to Pay More Than $2.8 million Against New Futures Trading International Corporation and Henry Roche in Ponzi Scheme
SEC v. New Futures Trading International Corporation and Henry Roche, Case No. 11-CV-532-JL (D. NH.) On May 24, 2012 the U.S. District Court for the District of New Hampshire entered final judgments by default against New Futures Trading International Corporation … Continue reading
SEC Charges David M. Connolly in Multi-Million Dollar Real Estate Investment Scam
SEC v. David M. Connolly, Case No. 2:12-cv-02952-WJM-MF (D.N.J.) On May 17, 2012, the SEC charged David Connolly with operating a multi-million-dollar Ponzi-like scheme involving a series of investment vehicles formed for the purpose of purchasing and managing real estate … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges Northern California Investment Adviser in $60 Million Ponzi Scheme
SEC v. GLR Capital Management, LLC, et al., Case No. CV 12-2663 HRL. Yesterday, the SEC charged John A. Geringer of running a $60 million investment fund like a Ponzi scheme. Geringer, who managed the GLR Growth Fund, misled investors … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Charges Recidivist in $35 Million International Boileroom Scheme
SEC v. Nicholas Louis Geranio, et al., Case No. CV-12-4257-DMG (JCx) (C. D. Cal.). On May 16, 2012, the SEC announced that it filed an action against SEC recidivist Nicholas Louis Geranio, Keith Michael Field, The Good One, Inc. and … Continue reading
SEC Files Litigated Action Against China Natural Gas, Inc. and Its Chairman and Former CEO
SEC v. China Natural Gas, Inc. and Qinan Ji, Case No. 12-cv-3824 (PGG). The SEC filed suit on May 14 in the U.S. District Court for the Southern District of New York against China-based China Natural Gas, Inc. and its … Continue reading
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