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- SEC Settles Insider Trading Case against Charles Langston III
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Tag Archives: Securities Act
SEC Charges Brokers Jeffrey Stebbins and Corbin Jones with Stealing Investments
SEC v. Jeffrey Stebbins and Corbin Jones, Case No. 2:13-cv-00755 SRB (D. Az.). On April 16, 2013, the SEC announced it filed fraud charges against Jeffrey Stebbins and Corbin Jones. The SEC alleges that Stebbins and Jones solicited investors for … Continue reading
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Tagged Fraud, Penny Stock, SEC, Securities Act, Securities Exchange Act
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SEC Charges David Miller in Unauthorized Trading Scheme
SEC v. David Miller, Case No. 3:13-cv-00522 (D. Conn.). On April 15, 2013, the SEC announced it filed a partially settled enforcement action against David Miller, a former trader with Rochdale Securities LLC. The SEC alleges that Miller received an … Continue reading
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Tagged Broker-Dealer, Fraud, SEC, Securities Act, Securities Exchange Act
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SEC Charges Medical Device Company Employee for Illegally Tipping His Brother
SEC v. Tai Nguyen and Thanhha Bao, Case No. 12-cv-5009 (GBD) (S.D.N.Y.). On April 8, 2013, the SEC announced an enforcement action against ThanhHa Bao, who worked in the finance department at Abaxis Inc. The SEC alleges that Bao routinely … Continue reading
Posted in Securities
Tagged Hedge Fund, Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Charges Glenn Hoppes and His Companies with Offering Fraud in Connection with Oil Drilling Projects
SEC v. Glenn Hoppes, United States Energy Corp., TN-KY Development Fund LP, TN-KY Development Fund II LP and TN-KY Development Fund III LP, Case No. 8:13-cv-00868-SDM-AEP (M.D. Fl.). On April 8, 2013, the SEC announced an enforcement action against Glenn … Continue reading
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Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Obtains Temporary Restraining Order against British Internet Investment Scheme
SEC v. Inter Reef, Ltd. dba Profitable Sunrise, Melland Company S.R.O., Color Shock S.R.O., Solutions Company S.R.O. and Fortuna-K S.R.O., Case No. 1:13-cv-1104 (D. Ga.). On April 4, 2013, the SEC announced it filed an emergency enforcement action against Inter … Continue reading
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Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Obtains Asset Freeze Against Investment Adviser Gregg Caplitz Charged with Stealing Client Money
SEC v. Gregg D. Caplitz, et al., Case No. 1:13-cv-10612 MLW (D. Mass.). On March 18, 2013, the SEC announced it obtained an asset freeze against investment adviser Gregg D. Caplitz. The SEC alleges that Caplitz and Insight Onsite Strategic … Continue reading
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Tagged Fraud, Hedge Fund, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Files Settled Fraud Action against the State of Illinois for Misleading Pension Disclosures
In the Matter of State of Illinois, Admin. Proc. File No. 3-15237. On March 11, 2013, the SEC announced it issued a settled cease-and-desist order against the State of Illinois. This is the second time the SEC has charged a … Continue reading
SEC Obtains Emergency Order Halting Alleged Investment Scheme by John Rohner
SEC v. Inteligentry, Ltd., PlasmERG, Inc., PTP Licensing, Ltd. and John P. Rohner, Case No. 2:13-cv-00344 GMN (D. Nev.). On March 8, 2013, the SEC announced it obtained an emergency order halting an alleged investment scheme. The SEC alleged that John P. … Continue reading
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Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges Robert Crane with Market Manipulation of Penny Stocks
SEC v. Robert Crane, Case No. 1:13-cv-00261 CMH (E.D. Va.). On March 7, 2013, the SEC announced a settled fraud action against Robert Crane for manipulating the market for certain penny stocks. The SEC alleges that Crane executed six wash … Continue reading
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Tagged Fraud, Market Manipulation, Penny Stock, SEC, Securities Act, Securities Exchange Act
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SEC Charges Hedge Fund Adviser Randall Hansen with Fraud
SEC v. Randal Kent Hansen, et al., Case No. 13-cv-01403 (S.D.N.Y.). On March 4, 2013, the SEC announced fraud charges related to two hedge funds — RAHFCO Funds LP and RAHFCO Growth Fund LP (the “RAHFCO Hedge Funds”). The SEC charged RAHFCO Management Group, … Continue reading
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Tagged Broker-Dealer, Fraud, Hedge Fund, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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Securities Enforcement Blog 