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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 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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Hong Kong Firm Ordered To Pay $14 Million to Settle Insider Trading Charges
SEC v. Well Advantage Limited, et al., Case No. 12-cv-5786(S.D.N.Y.). Previously, I’ve blogged here and here about the SEC’s asset freezes obtained in connection with insider trading related to various Chinese companies. On October 18, 2012, the SEC announced that … Continue reading
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 Adds Defendant to Pending Insider Trading Case Against Chinese Citizens
SEC v. All Know Holdings, LTD et al., Case No. 11-cv-8605 (N.D. Ill). On October 12, 2012, the SEC announced new charges in a pending insider trading case against several Chinese citizens and a Chinese-based entity. The SEC previously charged … Continue reading
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
SEC Charges James and Jeffrey Quay With Defrauding Elderly Investors
SEC v. James S. Quay and Jeffrey A. Quay, Case No. 1:12-cv-03429-RWS (N.D. Ga.). On October 4, 2012, the SEC announced fraud charges against James and Jeffrey Quay. James Quay (“Quay”) and his brother stole $560,000 from two women who … Continue reading
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