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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 Brings Affinity Fraud Charges against Firas Hamdan in Investment Scheme Targeting Lebanese Community
SEC v. Firas A. Hamdan, Case No. 4:13-CV-215 (S.D. Tex.). On January 29, 2013, the SEC announced fraud charges against Firas Hamdan for targeting members of the Lebanese and Druze communities with an investment scheme involving a supposed high-frequency trading … Continue reading
SEC Brings Financial Crisis-Related Case against Jesse Litvak for Selling Mortgage-Backed Securities
SEC v. Jesse C. Litvak, Case No. 3:13-cv-00132 (D. Conn.). On January 28, 2013, the SEC announced fraud charges against Jesse Litvak, a former executive at broker-dealer Jeffries & Co. The SEC alleges that Litvak arranged trades for customers as … Continue reading
Posted in Securities
Tagged Broker-Dealer, Fraud, Mortgage Backed Securities, SEC, Securities Act, Securities Exchange Act
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SEC Charges Jonathan Gilchrist with Stock Manipulation
SEC v. Jonathan C. Gilchrist, Case No 4:13-cv-00163 (S.D. Tex.). On January 23, 2013, the SEC announced it filed charges against Jonathan C. Gilchrist for engaging in a stock manipulation scheme in violation of the registration and antifraud provisions of the … Continue reading
SEC Obtains Summary Judgment In Offering Fraud
SEC v. Francis E. Wilde, Steven E. Woods, Mark A. Gelazela, Bruce H. Haglund, Matrix Holdings LLC, BMW Majestic LLC, IDLYC Holdings Trust LLC, and IDLYC Holdings Trust, et al., Case No. SACV 11-315 DOC (AJWx ) (C.D. Cal.). On … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges Volt Information Sciences, Debra Hobbs and Jack Egan With Securities Fraud
SEC v. Jack J. Egan, Jr., Case No. 13-CV-236 (S.D.N.Y.); SEC v. Volt Information Sciences, Inc. and Debra L. Hobbs, Case No. 13-CV-237 (S.D.N.Y.). On January 10, 2013, the SEC filed enforcement actions alleging securities fraud against Volt Information Sciences, … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, Internal Controls, SEC, Securities Act, Securities Exchange Act
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SEC Charges Hedge Fund Manager Peter Eichler, Jr. With Fraud Steering Winning Trades To Select Clients
SEC v. Aletheia Research and Management, Inc. and Peter J. Eichler, Jr., Case No. 12-cv-10692-JFW (RZx) (C.D. Cal.). On December 14, 2012, the SEC announced charges against Hedge Fund Manager Peter Eichler and his firm Aletheia Research and Management, Inc. … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Settles Fraud Claims Against Hedge Fund Manager Steven Hart For $1.3 Million
SEC v. Steven B. Hart, Case No. 12-CIV-8986 (S.D.N.Y). On December 11, 2012, the SEC announced it filed a settled fraud action against hedge fund manager Steven Hart for engaging in trading schemes. According to the SEC, Hart caused the … Continue reading
Posted in Securities
Tagged Fraud, Insider Trading, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Files Settled Offering Fraud Case Against Rodney Ratheal
SEC v. Premco Western, Inc. and Rodney Scott Ratheal, Case No. 2:12-cv-01120-BSJ (D. Utah). On December 10, 2012, the SEC announced it filed a settled fraud action against Premco Western, Inc., an oil and gas company that drills on land … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Obtains Asset Freeze and Appointment of Receiver In Fraud Case Against Hedge Fund Adviser Hochfeld Capital Management And Its Principal Berton Hochfeld
SEC v. Berton Hochfeld et al., Case No. 12-cv-8202 (S.D.N.Y.). On November 26, 2012, the SEC announced it obtained a consent judgment in its case against Berton M. Hochfeld and Hochfeld Capital Management, L.L.C., ordering injunctions, asset freezes, the appointment of a … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Settles With J.P Morgan For $296.9 Million Related to Mortgage-Backed Securities
SEC v. J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I, Case No. 1:12-cv-01872 RLW(D.D.C.). On November 16, 2012, the … Continue reading
Securities Enforcement Blog 