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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
Hedge Fund Manager James F. Turner And His Firm Ordered to Disgorge $2 Million In Profits From Insider Trading
Securities and Exchange Commission v. Clay Capital Management, LLC, et al., Case No. 2:11-cv-05020-DMC-JAD (D.N.J.). On August 29, 2012, the SEC announced it obtained final judgments against Clay Capital Management, LLC and its former Chief Investment Officer, James F. Turner II, … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Charges Investment Adviser Anthony K. Welch With Fraud
SEC v. Anthony K. Welch, Case No. 1:12-cv-3034 (N.D. Ga.). On August 31, 2012, the SEC charged former investment adviser Anthony Welch with fraud. Welch issued a press releases and made other public statements that had false and misleading information … Continue reading
Posted in Securities
Tagged Fraud, Market Manipulation, Penny Stock, SEC, Securities Exchange Act
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SEC Charges Brokers Fabrizio Neves and Jose Luna for Defrauding Brazilian Public Pension Funds
Securities and Exchange Commission v. Fabrizio Neves, et al., Case No. 1:12-cv-23131 (S.D. Fla.). On August 29, the SEC filed fraud charges against former Miami brokers Fabrizio Neves and Jose Luna. Neves and Luna were involved in a scheme to … Continue reading
SEC Files Fraud Action Robert L. Kelly and Wwebnet, Inc.
Securities and Exchange Commission v. Wwebnet, Inc. and Robert L. Kelly, Case No. 12-CV-6581 (S.D.N.Y.). On August 28, the SEC announced fraud charges against Wwebnet, Inc. and its CEO Robert Kelly. Kelly solicited investments from investors to purchase stock issued … Continue reading
SEC Obtains Final Judgment Requiring Jeffrey Mowen to Pay More Than $18 Million
SEC v. Jeffrey L. Mowen, et al., Case No. 2:09-cv-00786-DB/PMW (D. Utah). On August 27, the SEC announced it obtained a final judgment against Jeffrey L. Mowen, ordering Mowen to disgorge $8,041,779 and $1,964,203.67 in prejudgment interest. The Court also … Continue reading
SEC Charges Eric Martin With Insider Trading
SEC v. Eric Martin, Defendant and Robin Martin, Relief Defendant, Case No. 1:12-CV-02922-AT (N.D. Ga.). On August 23, 2012, the SEC charged Eric Martin with insider trading. Martin served as the Vice President of Investor Relations for Carter’s Inc. He … Continue reading
SEC Files Action Against Paul Burks and ZeekRewards.com to Halt $600 Million Ponzi Scheme
SEC v. Rex Venture Group LLC et al., Case No. 3:12-CV-519 (W.D. N. Carolina). It seems as though we are reading about a new Ponzi scheme almost every day. On August 22, the SEC announced it filed a settled action … Continue reading
SEC Files Settled Insider Trading Case Against James Lieberman
SEC v. James L. Lieberman, Civil Action No. 1:12-cv-02198 (D. Colo.). The SEC is continuing its focus on insider trading, announcing on August 21 that it filed insider trading charges against James L. Lieberman. Lieberman traded Array BioPharma Inc. stock based … Continue reading
SEC Charges Ricardo Rojas in $7 Million Ponzi Scheme Targeting Evangelical Christians
SEC v. Ricardo Bonilla Rojas and Shadai Yire, Inc., Case No. 12-cv-1681 (D.P.R.). On August 21, the SEC announced fraud charges against Ricardo Rojas and his firm Shadai Yire. Rojas and his sales agents solicited investors claiming the investments were a risk-free … Continue reading
SEC Charges College Football Hall of Fame Coach James M. Donnan, III, and Gregory L. Crabtree in $80 Million Ponzi Scheme
Securities and Exchange Commission v. James M. Donnan, III, et al., Case No. 1:12-CV-02831-ODE (N.D. Ga.). On August 17, 2012, the SEC announced fraud charges against College Football Hall of Fame coach and ESPN sports commentator James Donnan and Gregory … Continue reading
Securities Enforcement Blog 