Contributors
-
Recent Posts
- 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
Archives
Categories
Meta
Other BraunHagey Blogs
-
Tag Archives: Securities Exchange Act
SEC Announces that Investment Adviser Timothy Roth Was Sentenced to 12 Years in Parallel Criminal Case
SEC v. Timothy J. Roth, et al, Case No. 11-cv-02079 (C.D. Ill.). On February 5, 2013, the SEC announced that a federal judge sentenced Timothy J. Roth to 151 months in prison and ordered him to pay $16,151,964 in restitution … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
Leave a comment
SEC Charges Richard and Susan Olive with Defrauding Senior Citizens Investing in Charity
SEC v. Richard and Susan Olive, Case No. 2:13-cv-14047 (S. D. Fl.); SEC v. We the People, Inc. of the United States, Case No. 2:13-cv-14050 (S. D. Fl.); SEC v. William G. Reeves, Esq., Case No. 2:13-cv-14048 (S. D. Fl.). … Continue reading
SEC Charges Five Cay Clubs Resorts and Marinas Executives in $300 Million Ponzi Scheme
SEC v. Barry J. Graham, Fred Davis Clark, Jr., a/k/a Dave Clark, Cristal R. Coleman, a/k/a Cristal Clark, David W. Schwarz, Ricky Lynn Stokes, Case No. 4:13-cv-10011 (S. D. Fl.). On January 30, 2013, the SEC announced fraud charges against … Continue reading
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
Leave a comment
SEC Charges Financial Adviser Kevin Dowd with Tipping Insider Information
SEC v. Kevin L. Dowd. On January 25, 2013, the SEC announced charges in New Jersey Federal Court against Kevin Dowd for illegally tipping inside information. The SEC alleges that Dowd learned about the acquisition of Pharmasset Inc. by Gilead … Continue reading
Posted in Securities
Tagged illegal trades, Insider Trading, SEC, Securities Exchange Act
Leave a comment
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 Files Settled Insider Trading Case Against John Darden III
SEC v. John M. Darden III, Case No. 1:13-cv-00138-ODE (D. Ga.). On January 17, 2013, the SEC announced it filed a settled insider trading case against John M. Darden III. The SEC alleges that Darden obtained inside information about a … Continue reading
SEC Files Settled Insider Trading Case Against Eric Rogers
SEC v. Eric D. Rogers, Case No. 13-CV-0374 (S.D.N.Y.). On January 17, 2013, the SEC announced it filed a settled insider trading case against Eric D. Rogers. Rogers used to be a trader for Spectrum Trading, LLC, a registered broker-dealer. … Continue reading
Posted in Securities
Tagged Broker-Dealer, Insider Trading, SEC, Securities Exchange Act
Leave a comment
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
Leave a comment
Securities Enforcement Blog 