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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 Brandt A. Lawler, Michael S. Lawler, Ryan G. Lawler, Timothy J. Lawler, and Pamela Hass in Offering Fraud
SEC v. Projaris Management, LLC et al., Case No. 1:13-cv-00849 (D.N.M.). On September 9, 2013, the SEC announced fraud charges against Projaris Management, LLC, Victory Partners Financial, Joe G. Lawler, Brandt A. Lawler, Michael S. Lawler, Ryan G. Lawler, Timothy … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Files Settled Fraud Action against CFO Dale Ringgenberg and Anchor Bancorp Wisconsin
SEC v. Anchor Bancorp Wisconsin, Inc. and Dale C. Ringgenberg, Case No. 1:13-cv-01241 (D.D.C.). On August 14, 2013, the SEC announced it filed a settled fraud action against Anchor Bancorp Wisconsin and its former CFO Dale Ringgenberg. The SEC alleges … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, SEC, Securities Act, Securities Exchange Act
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SEC Obtains Emergency Relief against Anthony Davian and His Asset Management Firm
SEC v. Anthony J. Davian and Davian Capital Advisors, LLC, Case No. 5:13-cv-1762 (N.D. Ohio.). On August 14, 2013, the SEC announced it obtained a temporary restraining order and asset freeze against Anthony Davian and his asset management firm for … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Obtains Emergency Asset Freeze against Steven Heinz
SEC v. Steven B. Heinz, et al., Case No. 2:13-cv-00753 (D. Utah). On August 8, 2013, the SEC announced it obtained a temporary restraining order and emergency asset freeze against Steven B. Heinz and his company S.B. Heinz and Associates, … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
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SEC Charges Bank of America with Fraud in Connection with Offering of Mortgage-Backed Securities
SEC v. Bank of America et al., Case No. 3:13-cv-447 AVC (W.D.N.C.). On August 6, 2013, the SEC announced fraud charges against Bank of America and two subsidiaries related to an offering of residential mortgage-backed securities (“RMBS”). According to the … Continue reading
SEC Charges Cort Poyner and Mohammad Dolah with Market Manipulation
SEC v. Cort Poyner and Mohammad Dolah, Case No. CV 13-4331 (E.D.N.Y). On August 6, 2013, the SEC announced fraud charges against Cort Poyner and Mohammad Dolah in connection with an alleged bribery scheme designed to manipulate the market for … Continue reading
Posted in Securities
Tagged Fraud, Market Manipulation, SEC, Securities Act, Securities Exchange Act
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SEC Charges John Rizzo with Running A Boiler Room Scheme
SEC v. John G. Rizzo, Case No. 3:13-cv-01801 MMA BLM (C.D. Cal.). On August 6, 2013, the SEC announced fraud charges against John G. Rizzo, the former CEO of iTrackr Systems Inc. The SEC alleges that Rizzo used escrow agents … Continue reading
SEC Charges Green Former Green Mountain Coffee Employee Chad McGinnis and His Friend Sergey Pugach
SEC v. Chad C. McGinnis and Sergey Pugach, Case No. 3:13-cv-1047 AVC (D. Conn.). On August 2, 2013, the SEC announced insider trading charges against former Green Mountain Coffee Employee Chad McGinnis and his friend Sergey Pugach. According to the … Continue reading
Posted in Securities
Tagged Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Approves JOBS Act Requirement to Lift General Solicitation Ban
On July 10, 2013, by a 4-1 vote, the SEC eliminated the prohibition of general solicitations and advertisings for securities offerings exempt from the SEC’s registration requirement. The new rules become final 60 days after publication in the federal register. … Continue reading
SEC Freezes Assets of Kevin G. White in Alleged Forex Trading Scam
SEC v. Kevin G. White et al., Case No. 4:13-cv-00383 RAS (E.D. Tex.). On July 12, 2013, the SEC announced it obtained an emergency court order to freeze the assets of Kevin G. White and his companies. The Commodity Futures … Continue reading
Posted in Securities
Tagged CFTC, Forex, Fraud, SEC, Securities Act, Securities Exchange Act
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Securities Enforcement Blog 