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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 Asset Freeze of Account Used in Insider Trading Ahead of Heinz Acquisition
SEC v. Certain Unknown Traders in the Securities of H.J Heinz Company (S.D.N.Y.). On February 15, 2013, the SEC announced that it obtained an emergency court order to freeze assets in a Zurich, Switzerland-based trading account that was used to obtain … Continue reading
SEC Sues Investment Advisor Desla U. Thomas in Investment Scheme
SEC v. Desla U. Thomas, et al., Case No. 3:13-cv-00739-L (N.D. Tex.). On February 15, 2013, the SEC announced fraud charges against investment adviser Delsa U. Thomas, The D. Christopher Capital Group, LLC (“DCCMG”), and The Solomon Fund LP. The SEC’s complaint … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
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SEC Obtains Final Judgments in Insider Trading Scheme Involving Wall Street Banker, Russian Trader and His Wife
SEC v. Igor Poteroba, Aleksey Koval, Alexander Vorobiev, and Relief Defendants Tatiana Vorobieva and Anjali Walter, Case No. 1:10-CV-2667 (AKH) (S.D.N.Y.). On February 13, 2013, the SEC announced it had obtained default judgments against Alexander Vorobiev (“Vorobiev”) and his wife, relief defendant … Continue reading
SEC Settles Cherry-Picking Case against Hedge Fund Manager Howard Berger
SEC v. Howard Brett Berger and Michelle Berger, Case No. CV-12-4728 (E.D.N.Y.). On February 12, 2013, the SEC announced it settled an enforcement action brought in September 2012. The SEC alleged Howard Berger (“Berger”) was a founder and manager of … Continue reading
Posted in Securities
Tagged Hedge Fund, Investment Advisers Act, SEC, Securities Exchange Act
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SEC Files Emergency Action in a $150 Million Investment Scheme
SEC v. A Chicago Convention Center, LLC, Anshoo Sethi, and Intercontinental Regional Center Trust of Chicago, LLC, Case No. 13-cv-982 (E.D. Ill.). On February 8, 2013, the SEC announced charges and an asset freeze against Anshoo Sethi, A Chicago Convention Center … Continue reading
SEC Gives Up on Case against IndyMac CFO A. Scott Keys
SEC v. Michael W. Perry et al, Case No. CV 11-1309 R (JCx) (C.D. Cal.). On February 7, 2013, the SEC announced that a federal judge granted summary judgment in favor of A. Scott Keys, a former CFO of IndyMac Bancorp., … Continue reading
SEC Settles Insider Trading Case against Former Executive at a Coca-Cola Bottling Company
SEC v. Steven Harrold, Case No. CV 12-1959 GW (JCx) (C.D. Cal.). On February 6, 2013, the SEC announced that it settled insider trading charges against Steven Harrold, a former executive at a Coca-Cola bottling company. In its complaint filed … Continue reading
SEC Files Insider Trading Case against James Balchan for Trading on Information Gained from his Wife, a Law Firm Partner
SEC v. James Balchan, Case No. 4:13-cv-00298 (S.D. Tx.). On February 6, 2013, the SEC announced that it filed insider trading charges against James Balchan for trading ahead of the acquisition of National Semiconductor after he misappropriated confidential information from … Continue reading
SEC Settles Case against Former Officers of Gibraltar Asset Management Group
SEC v. Garfield Taylor, Inc., et al., Case No. 1:11-cv-02054-RLW (D.D.C.). On February 5, 2013, the SEC announced that it settled its case against three former officers of Gibraltar Asset Management Group, LLC for their role in a $27 million … Continue reading
SEC Settles Insider Trading Case Against Four Company Executives and Two Tippees
SEC v. Patrick M. Carroll, James P. Carroll, William T. Carroll, David Mark Calcutt, Christopher Calcutt, David Stitt, John Monroe and Stephen Somers, Case No. 3:11-cv-165-H. On February 5, 2013, the SEC announced that it settled insider trading charges in … Continue reading
Securities Enforcement Blog 