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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 Exchange Act
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
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges Attorney Brian Reiss with Fraud for Legal Opinion Letters
SEC v. Brian R. Reiss, Case No. 13-cv-1537 (S.D.N.Y.). On March 7, 2013, the SEC announced fraud charges against California attorney Brian Reiss for issuing legal opinion letters without any basis. A legal opinion letter is one provided to transfer … Continue reading
Posted in Securities
Tagged Fraud, Penny Stock, SEC, 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
Posted in Securities
Tagged Fraud, Market Manipulation, Penny Stock, SEC, Securities Act, Securities Exchange Act
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SEC Charges Stock Promoter Colin McCabe with Fraud
SEC v. Colin McCabe (D/B/A Elite Stock Report, The Stock Profiteer, and Resource Stock Advisor), Case No. 2:13-cv-00161 (D. Utah). On March 4, 2013, the SEC announced fraud charges against Canadian stock promoter Colin McCabe. According to the SEC, McCabe … Continue reading
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
Posted in Securities
Tagged Broker-Dealer, Fraud, Hedge Fund, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Charges Falcon Ridge Development and its CEO Fred Montano with Fraud in Market Manipulation Scheme
SEC v. Falcon Ridge Development, Inc., et al., Case No. 13-cv-1101 (E.D. Pa.). On March 1, 2013, the SEC announced fraud charges against Falcon Ridge Development, Inc. (“Falcon Ridge”) and its President and CEO, Fred M. Montano. The SEC alleges … Continue reading
Posted in Securities
Tagged Fraud, Market Manipulation, SEC, Securities Act, Securities Exchange Act
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SEC Charges San Francisco-Bay Area Real Estate Fund Managers Walter Ng, Kelly Ng and Bruce Horwitz with Fraud
SEC v. Walter Ng, Kelly Ng, Bruce Horwitz, and The Mortgage Fund, LLC, Case No. C 13-0895 NC (N.D. Cal.). On February 28, 2013, the SEC announced fraud charges against Bay Area real estate fund managers Walter Ng, his son … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Charges Chinese Company Keyuan Petrochemicals with Fraud
SEC v. Keyuan Petrochemicals, Inc. and Aichun Li, Case No. 1:13-cv-00263 (D.D.C.). On February 28, 2013, the SEC announced fraud charges against Keyuan Petrochemicals, Inc., a Chinese issuer formed through a reverse merger in April 2010. The SEC also charged the Company’s … 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 Managers David Bryson and Bart Gutekunst with Fraud
SEC v. New Stream Capital, LLC, New Stream Capital (Cayman), Ltd., David A. Bryson, Bart C. Gutekunst, Richard Pereira, and Tara Bryson, et al., Case No. 3:13-cv-00264 (D. Conn.). On February 26, 2013, the SEC announced fraud charges against hedge … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, Investment Advisers Act, Securities Act, Securities Exchange Act
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SEC Sues Fund Manager George Price in Scheme Involving Risky Mortgage-Related Investments
SEC v. ABS Manager, LLC, et al., Case No. 13 CV 0319 PC JMA (S.D. Cal.). On February 20, 2013, the SEC announced fraud charges against George Charles Cody Price. Price raised $18 million for three investment funds through his firm ABS … Continue reading
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