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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 James Ellis With Brining Victims Into Ponzi Scheme
SEC v. James Ellis, Case No. 12-cv-62211 (S.D. Florida.). On November 9, 2012, the SEC announced charges against James Ellis. The SEC alleges that Ellis was involved in a Ponzi scheme with George Elia. Ellis found investors and introduced them … Continue reading
SEC Charges Electronic Game Company Executives And Their Outside Auditor With Fraud
SEC v. Lee Cole, Linden Boyne, Kevin Donovan, and Timothy Quintanilla (S.D.N.Y). On November 8, 2012, the SEC announced it charged Lee Cole, Linden Boyne, Kevin Donovan, and Timothy Quintanilla with fraud. Cole was the CEO of Electronic Game Card, … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Settles Insider Trading Charges Against Kris Chellam In Connection With The Galleon Funds
SEC v. Kris Chellam, Case No. 12-CIV-7983 (S.D.N.Y). On October 26, 2012, the SEC announced settled insider trading charges against Silicon Valley executive Kris Chellam. Chellam tipped convicted insider trader Raj Rajaratnam by telling him that Xilinx, Inc. would not … Continue reading
Posted in Securities
Tagged Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Charges James Mulholland, Jr. and Thomas Mulholland in Real Estate Offering Fraud
SEC v. James C. Mulholland, Jr. and Thomas Mulholland, Case No. 12-cv-14663 (E.D. Mich.). On October 23, 2012, the SEC announced fraud charges against James Mulholland, Jr. and his brother Thomas Mulholland. The case concerns the Mulhollands’ real estate business … Continue reading
SEC Charges Joseph Pacificio with Financial Fraud
SEC v. Joseph Pacifico, Case No. 1:12-cv-03636 (N.D. Ga.). On October 18, 2012, the SEC announced charges against Joseph Pacifico, a former President of Carter’s, Inc., marketer of children’s clothing, for engaging in financial fraud at Carter’s. Carter’s Executive Vice … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, SEC, Securities Act, Securities Exchange Act
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SEC Charges Geoffrey Lunn, Darlene Bishop and Vincent Curry in $5.77 Million Investment Scheme
Securities and Exchange Commission v. Geoffrey H. Lunn, Darlene A. Bishop and Vincent G. Curry, Case No. 12-cv-02767 (D. Colo.). On October 18 2012, the SEC announced charges against Geoffrey H. Lunn, Darlene A. Bishop and Vincent G. Curry for … Continue reading
SEC Charges Michael Southworth With Touting And Acting As An Unregistered Broker
SEC v. The Investors Registry, LLC, and Michael J. Southworth, Case No. 2:12-cv-02214-MEA (D. Ariz.). On October 17, 2012, the SEC announced charges against Michael Southworth and The Investors Registry, LLC (“TIR”). Southworth sold memberships in TIR. Southworth profiled various … Continue reading
SEC’s Aberrational Performance Inquiry Leads To Charges Against Hedge Fund Executives Mark Angelo and Edward Schinik
SEC v. Yorkville Advisors, LLC, et al., Case No. 12-civ-7728 (S.D.N.Y.) The SEC’s Aberrational Performance Inquiry, which is a joint effort among the Division of Enforcement, Office of Compliance, Inspections and Examinations, and the Division of Risk, Strategy and Financial … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Obtains Judgment Against Derek F.C. Elliott in Connection with Fraudulent Offer of Interests in Dominican Republic Resorts
SEC v. James S. James B. Catledge, et al., Case No. 2:12-cv-00887-JCM-RJJ (D. Nevada). On October 15, 2012, the SEC announced it obtained a judgment against Derek F.C. Elliott. The SEC’s enforcement action was filed in May 2012, against James … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges Brokers Marek Leszczynski, Benjamin Chouchane, Gregory Reyftmann, and Henry Condron For Overcharging Customers $18.7 Million
SEC v. Marek Leszczynski, et al. (S.D.N.Y.). On October 5, 2012, the SEC announced fraud charges against brokers Marek Leszczynski, Benjamin Chouchane, Gregory Reyftmann, and Henry Condron for taking $18.7 million from customers by overcharging them. The Defendants were at … Continue reading
Securities Enforcement Blog 