Contributors
-
Recent Posts
- 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
Archives
Categories
Meta
Other BraunHagey Blogs
-
Tag Archives: Securities Exchange Act
SEC Obtains Emergency Relief Against Christopher A.T. Pedras to Stop Ponzi Scheme
SEC v. Christopher A.T. Pedras, et al., Case No. CV 13-07932 DMG JCGx (C.D. Cal.) On November 4, 2013, the SEC announced it obtained an emergency asset freeze against Christopher A.T. Pedras who allegedly deceived investors into believing they were … Continue reading
SEC Charges Yin Nan Wang and Wendy Ko in Real Estate Scheme and Obtains Emergency Asset Freeze
SEC v. Yin Nan “Michael” Wang, Wendy Ko, et al., Case No. CV 13-07553 JAK CSSx (C.D. Cal.) On November 1, 2013, the SEC announced it obtained an emergency asset freeze against Yin Nan (Michael) Wang, Wendy Ko and some … Continue reading
Posted in Securities
Tagged Fraud, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
Leave a comment
SEC Charges Dennis Rosenberg with Insider Trading
SEC v. Dennis S. Rosenberg, Case No. 1:13-cv-3559-AT (N.D. Ga.). On October 29, 2013, the SEC announced insider trading charges against Dennis Rosenberg (“Rosenberg”) for trading in the securities of Carter’s Inc. (“Carter’s”). According to the SEC, Rosenberg would trade … Continue reading
Posted in Securities
Tagged Insider Trading, SEC, Securities Act, Securities Exchange Act
Leave a comment
SEC Charges Stryker Corporation with FCPA Violations
In the Matter of Stryker Corporation, Admin. Proc. No. 3-15587. On October 24, 2013, the SEC announced it filed a settled Foreign Corrupt Practices Act case against Stryker Corporation related to its subsidiaries’ alleged payments of bribes to doctors, health … Continue reading
SEC Charges Diebold with FCPA Violations in China, Indonesia and Russia
SEC v. Diebold, Inc., Case No. 1:13-cv-01609 (D.D.C.). On October 22, 2013, the SEC announced it filed a settled Foreign Corrupt Practices Act case against ATM maker Diebold, Inc. According to the SEC, Diebold, through its Chinese subsidiary, gave European … Continue reading
SEC Charges China-based Yuhe International, Inc. and its CEO Gao Zhentao with Fraud
SEC v. Yuhe International, Inc., and Gao Zhentao, Case No. 1:13-cv-01598-RCL (D.D.C.). On October 18, 2013, the SEC announced fraud charges against Yuhe International, Inc.(“Yuhe”), a China-based provider of broiler chickens, and its Chief Executive Officer, Gao Zhentao (“Gao”). According … Continue reading
SEC Charges Michael Enea with Operating a Ponzi Scheme
SEC v. Michael R. Enea, Case No. 2:13-cv-01151 (E.D. Wis.). On October 11, 2013, the SEC announced fraud charges against Michael R. Enea. According to the SEC, Enea ran a Ponzi scheme from 2006 to 2013 in which he sold … Continue reading
SEC Settles with Previously Unknown Insider Traders Michel and Rodrigo Terpins
SEC v. Michel Terpins and Rodrigo Terpins, Case No. 13-cv-1080 JSR (S.D.N.Y.). On October 10, 2013, the SEC announced that brothers Michel and Rodrigo Terpins have agreed to pay almost $5 million to settle insider trading charges for trading in … Continue reading
SEC Charges Brett Cooper in Prime Investment Fraud and Also Sues Attorney David Frederickson Who Served as Escrow Agent
Securities and Exchange Commission v. Brett A. Cooper, Global Funding Systems LLC, Dream Holdings, LLC, Fortitude Investing, LLC, Peninsula Waterfront Development, LP, and REOP Group Inc., Case No. 1:13-cv-05781-RMB-AMD (D.N.J.); SEC v. David H. Frederickson and The Law Offices of … Continue reading
Posted in Securities
Tagged Broker-Dealer, Fraud, SEC, Securities Act, Securities Exchange Act
Leave a comment
SEC Charges Auditing Firm Patrizio & Zhao LLC and one of its Founding Partner for Bad Audits of China-Based Company
In the Matter of Patrizio & Zhao LLC and Xinggeng (John) Zhao, CPA, Admin. Proc. No. 3-15534. On September 30, 2013, the SEC announced it filed a settled Order Instituting Proceedings (“OIP”) charging auditing firm Patrizio & Zhao LLC (“P&Z”) … Continue reading
Securities Enforcement Blog 