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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 Continues To Publicize Its Vigorous Pursuit of Hedge Funds
For the past few years, the SEC has widely publicized its enforcement efforts against hedge funds. The agency has filed more than 100 hedge fund cases since 2010. On October 3, 2012, it issued an investor bulletin describing some of … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Charges Dark Pool Operator eBX LLC With Failing To Protect Confidential Information
In the Matter of eBX, LLC, Admin. Proc. No. 3-15058. On October 3, 2012, the SEC announced it issued a settled order instituting administrative proceedings and imposing remedial sanctions against eBX, LLC. eBX is a registered broker-dealer. It operates an alternative … Continue reading
SEC Obtains Emergency Asset Freeze Against Repeat Offender Joseph Hilton in Oil Scam
SEC v. Joseph Hilton, et al.. On October 3, 2012, the SEC announced it obtained an emergency order freezing the assets of Joseph Hilton who has been charged with fraud. In 2010, the SEC obtained a final judgment against Joseph … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges Solar Company In Market Manipulation Case
SEC Sunrise Solar Corporation, Eddie D. Austin, Jr., and Carolyn Austin, Civil Action No. 5:12-cv-00918-OLG (W.D. Tx.). On October 1, 2012, the SEC announced it had filed fraud charges against Sunrise Solar Corporation, its former CEO Eddie D. Austin, Jr., … Continue reading
SEC Charges Subramanian Krishnan With Evading Internal Controls
SEC v. Subramanian Krishnan, Case No.: 12-CV-2495 PAM-JJG (D. Minn.). On September 28, 2012, the SEC announced it had filed a partially-settled enforcement action against Subramanian Krishnan. Krishnan was the former CFO of Digi International, Inc. (“Digi”). Corporate funds were used to pay for unauthorized travel … Continue reading
Posted in Securities
Tagged Fraud, Internal Controls, SEC, Securities Act, Securities Exchange Act
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SEC Charges Investment Bank Analyst And Friend With Insider Trading
SEC v. v. Jauyo (“Jason”) Lee and Victor Chen, Case No. C12-5031-JSC (N.D. Cal.). On September 27, 2012, the SEC announced insider trading charges against Jauyo “Jason” Lee and his friend Victor Chen. Lee routinely received sensitive information as an investment banker … Continue reading
SEC Charges Bradley Holcom and Jose Pinedo in $42 Million Fraud Targeting Senior Citizens
SEC v. Bradley A. Holcom, Case No. 3:12-cv-01623 (S.D. Cal.); SEC v. Jose L. Pinedo, Case No. 3:12-cv-01620 (S.D. Cal.). On September 27, 2012, the SEC announced fraud charges against Bradley Holcom and Jose Pinedo. Holcom was behind an unregistered … Continue reading
SEC Charges Jonathan Bryant, Thomas Kelly, Carl Duncan and 8000, Inc. In Market Manipulation Scam
SEC v. 8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, Esq., Case No. 12-CV-7261 (S.D.N.Y.). On September 27, 2012, the SEC announced charges against 8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, … Continue reading
SEC Settles Pay-to-Play Case Against Goldman Sachs and Neil Morrison for $7 million
In the Matter of Goldman, Sachs & Co., Admin. Proc. No. 3-15048; In the Matter of Neil Morrison, Admin Proc. No. 3-15049. On September 27, 2012, the SEC announced charges against Goldman, Sachs & Co. and its former investment banker … Continue reading
SEC Files Fraud Charges Against Bank Executives For Misstating Losses
SEC v. Gilbert G. Lundstrom et al., Case No. 8:12-cv-00343 (D. Neb.); SEC v. Don A. Langford, Case No. 8:12-cv-00344 (D. Neb.). On September 25, 2012, the SEC announced fraud charges against Gilbert Lundstrom, who was CEO and chairman of … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, Insider Trading, Internal Controls, SEC, Securities Exchange Act
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Securities Enforcement Blog 