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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 Freeze in Connection with Illegal Sales of Biozoom Stock
SEC v. Magdalena Tavella et al., Case No. 13 CIV 4609 (S.D.N.Y.). On July 3, 2013, the SEC announced charges against eight Argentine citizens for selling millions of shares of Biozoom. The SEC also obtained an emergency order to freeze … Continue reading
Posted in Securities
Tagged SEC, Securities Act, Unregistered Securities Transactions
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SEC Charges Robert Hurd and His Company in Investment Scheme Touting Alzheimer’s Treatment
SEC v. Robert Hurd, Your Best Memories International Inc. and Kenneth Gross, Case No. 13-CV-04464-RGK (JCGx) (C.D. Cal.). On June 21, 2013, the SEC announced it filed charges against Your Best Memories International Inc. and its president, Robert Hurd for fraud. … Continue reading
SEC Charges Whittier Trust and Fund Manager Victor Dosti with Insider Trading
SEC v. Victor Dosti and Whittier Trust Co (S.D.N.Y). On June 7, 2013, the SEC announced it filed a complaint in the Southern District of New York charging Victor Dosti and Whittier Trust Company with insider trading. According to the … Continue reading
Posted in Securities
Tagged Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC and CFTC Charge Cyprus-Based Banc de Binary with Illegally Selling Binary Options
SEC v. Banc de Binary Ltd., Case No. 2:13-cv-00993 (D. Nev.). On June 6, 2013, the SEC announced charges against Banc de Binary for unlawfully selling binary options. Binary options are options contracts where the payout depends on whether the … Continue reading
Posted in Securities
Tagged CFTC, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges Michael Bartoszek and his Penny Stock Company with Fraud and Insider Trading
SEC v. Laidlaw Energy Group, Inc. and Michael B. Bartoszek, Case No. 13-cv-3887 (S.D.N.Y.). On June 5, 2013, the SEC announced charges against Laidlaw Energy Group and its CEO Michael B. Bartoszek. According to the SEC, Bartoszek sold billions of … Continue reading
SEC Charges Mark Morrow and His Firm with Offering Fraud
SEC v. Detroit Memorial Partners, LLC and Mark Morrow, Case No. 1:13-cv-01817 WSD (N.D. Ga.). On June 3, 2013, the SEC announced it charged Detroit Memorial Partners, LLC (“DMP”) and its managing member, Mark Morrow in an offering fraud. The SEC … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges China-based Executives Dejun “David” Zou and Jianping “Amy” Qiu with Stealing Money and Overstating Revenues
SEC v. RINO International Corporation, et al., Case No. 1:13-cv-00711 (D.D.C). On May 15, 2013, the SEC announced it filed fraud charges against China-based RINO, Corp., its former CEO, Dejun “David” Zou, and its chairman of the board, Jianping “Amy” … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, SEC, Securities Act, Securities Exchange Act
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SEC Charges Traders in Illegal Kickback Scheme
SEC v. Thomas Alberto Clarke Bethancourt et al, Case No. 13-cv-3074 (S.D.N.Y). On May 6, 2013, the SEC announced it filed fraud charges against Tomas Alberto Clarke Bethancourt, Iuri Rodolfo Bethancourt, Jose Alejandro Hurtado, and Haydee Leticia Pabon. The SEC … Continue reading
Posted in Securities
Tagged Broker-Dealer, Fraud, SEC, Securities Act, Securities Exchange Act
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Level Global Settles SEC Insider Trading Case for $21.5 Million
SEC v. Adondakis et al., Case No. 12 Civ. 0409 HB (S.D.N.Y). On April 30, 2013, the SEC announced it settled insider trading charges against Level Global Investors LP. In January 2012, the SEC filed insider trading charges against Level … Continue reading
Posted in Securities
Tagged Hedge Fund, illegal trades, Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Sues the City of Victorville, California and Others for Defrauding Municipal Bond Investors
SEC v. City of Victorville et al., Case No. EDCV13-0776 JAK (DIBx). On April 29, 2013, the SEC announced charges against the City of Victorville, Calif., the Southern California Logistics Airport Authority, Kinsell, Newcomb & DeDios (“KND”), Jeffrey Kinsell, Janees … Continue reading
Posted in Securities
Tagged Fraud, municipal bonds, SEC, Securities Act, Securities Exchange Act
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Securities Enforcement Blog 