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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 Four Individuals In $1.7 Million Investment Scam
SEC v. Rudolf D. Pameijer, et al., Case No. 1:12-CV-01364 (S.D. In.). On September 24, 2012, the SEC announced fraud charges against Rudolf D. Pameijer, Lindsay R. Sayer, Ryan W. Koester and his entity Rykoworks Capital Group, LLC. Koester claimed to be an … Continue reading
Posted in Securities
Tagged Broker-Dealer, Forex, Fraud, Penny Stock, SEC, Securities Act, Securities Exchange Act
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SEC Charges Registered Representative David Rothman Stealing Investor Funds
SEC v. David L. Rothman, Case No. 12-cv-5412-BMS (E.D. Pa.). On September 24, 2012, the SEC announced fraud charges against David Rothman, a registered representative and minority owner of Rothman Securities, Inc., a broker-dealer registered with the SEC. For several years Rothman provided … Continue reading
Posted in Securities
Tagged Broker-Dealer, Fraud, Registered Representative, SEC, Securities Act, Securities Exchange Act
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Tyco International, Ltd. To Pay $26 Million to Settle Foreign Corrupt Practices Act Violations
SEC v. Tyco, International Ltd., Case No. 1:12-cv-01583 (D.D.C.). On September 24, 2012, the SEC announced the filing of a settled FCPA case against Tyco. In 2006, the SEC filed a settled FCPA action against Tyco in which the company … Continue reading
SEC Charges Rondald Wheet and Revolutions Medical Corp. For False Statements About The Company’s Medical Safety Syringe
SEC v. Revolutions Medical Corp. and Rondald L. Wheet, Case No. 1:12-cv-03298-TCB (N.D. Ga.). On September 21, 2012, the SEC announced charges against Revolutions Medical Corp. (“Revolutions Medical”) and its CEO, Rondald L. Wheet (“Wheet”). The case concerns Revolutions Medical’s … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, SEC, Securities Act, Securities Exchange Act
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SEC Charges Repeat Offender Edward Tackaberry With Acting as an Unregistered Broker-Dealer
SEC v. Edward Tackaberry, Case No. 6:12-Civ-06512 (W.D.N.Y.). On September 21, 2012, the SEC announced charges against Edward Tackaberry. Tackaberry acted as a broker-dealer by discussing investments with investors, negotiating their investments and documenting the deals. At the time Tackaberry was soliciting … Continue reading
SEC Charges Hedge Fund Manager Yusaf Jawed in $37 Million Ponzi Scheme
SEC v. Yusaf Jawed, Grifphon Asset Management, LLC, et al; Case No. 12-1696 (D. Ore.); SEC v. Jacques Nichols, Case No. 12-1698 (D. Ore.); SEC v. Lyman Bruhn, et al., Case No. 12-1697 (D. Ore.). On September 21, 2012, the SEC … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
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SEC Charges H. Thomas Davis, Jr., Kenneth Wrangell and Mark Badgett With Insider Trading
On September 20, 2012, the SEC brought three separate insider trading cases related to an illegal tip about an impending merger. The SEC alleges that H. Thomas Davis, Jr., breached his fiduciary duty to Mercer Insurance Group by passing on … Continue reading
SEC Freezes Assets of Waldyr De Silva Prado Neto in Connection with Insider Trading of Burger King Stock
SEC v. Waldyr De Silva Prado Neto, Case No. 12 CIV 7094 (S.D.N.Y.). On September 20, 2012, the SEC announced it obtained an emergency court order to freeze the assets of a stockbroker who used nonpublic information from a customer … Continue reading
SEC Charges Hedge Fund Manager Angelo Alleca With Running a Ponzi-Like Scheme
SEC v. Angelo A. Alleca, et al., Case No. 1:12-cv-03261-WSD (N.D. Ga.). On September 19, 2012, the SEC announced fraud charges against hedge fund manager Angelo A. Alleca and his investment advisory firm, Summit Wealth Management, Inc. and three funds he operated … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
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SEC Charges Bruce Cole, Former CEO of Mamtek With Fraud in the Offer and Sale of Municipal Bonds
SEC v. Bruce Cole and Nanette Cole, Case No. CV 12-8024 ABC (SHx) (C.D. Cal.). On September 18, 2012, the SEC announced fraud charges against Bruce Cole, the former CEO and chairman of Mamtek U.S. The case concerns a fraud scheme … Continue reading
Posted in Securities
Tagged Fraud, municipal bonds, SEC, Securities Act, Securities Exchange Act
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Securities Enforcement Blog 