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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 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 Investment Advisory Firms and Portfolio Managers For Collapse of Mutual Fund
In the Matter of Claymore Advisors, LLC, Admin. Proc. File No. 3-15139; In the Matter of Mohamed Riad and Kevin Timothy Swanson, Admin. Proc. File No. 3-15141; In the Matter of Fiduciary Asset Management, LLC, Admin. Proc. File No. 3-15140. … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, Investment Company Act, SEC, 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 Charges Wells Fargo Investment Banker John W. Femenia And Nine Others With Insider Trading
SEC v. John Femenia, et al., Case No. 3:12-cv-803 GCM (W.D. NC). On December 5, 2012, the SEC announced insider trading charges against Wells Fargo investment Banker John W. Femenia and Aaron M. Wens, Matthew Musante, Anthony Musante, Shawn Hegedus, Danielle … Continue reading
SEC Settles Insider Trading Charges Against I. Joseph Massoud For More Than $1.4 Million
SEC v. I. Joseph Massoud, Case No. 3:12-cv-01691 (D. Ct.). On November 30, 2012, the SEC announced insider trading charges against I. Joseph Massoud. The SEC alleges that Massoud traded ahead of the sale of Patriot Capital Funding based on … Continue reading
SEC Settles With Igor Cornelsen and Bainbridge Group For $5.1 Million For Insider Trading In Burger King Stock
SEC v. Igor Cornelsen and Bainbridge Group, Inc., Case No. 12-civ-8712 (S.D.N.Y). Previously, I wrote about the SEC’s Burger King Insider Trading Case against Waldyr Neto. On November 30, 2012, the SEC announced charges against Igor Cornelsen and his firm … Continue reading
SEC Charges Roger Parker As Information Source In Insider Trading Case
SEC v. Michael Van Gilder and Roger Parker, Case No. 12-cv-2839 (D. Colo.). Previously, I wrote about the SEC’s insider trading case against Michael Van Guilder. The SEC alleged Van Gilder traded on inside information in advance of Delta Petroleum … Continue reading
SEC Settles With Four Brokerage Firms For Registration Violations
In the Matter of Ambit Capital Pvt. Ltd., Admin. Proc. No. 3-15105; In the Matter of Motilal Oswal Securities Limited, Admin. Proc. No. 3-15106; In the Matter of JM Financial Institutional Securities Private Limited, Admin. Proc. No. 3-15107; In the … Continue reading
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