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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 Files Settled Fraud Action against CFO Dale Ringgenberg and Anchor Bancorp Wisconsin
SEC v. Anchor Bancorp Wisconsin, Inc. and Dale C. Ringgenberg, Case No. 1:13-cv-01241 (D.D.C.). On August 14, 2013, the SEC announced it filed a settled fraud action against Anchor Bancorp Wisconsin and its former CFO Dale Ringgenberg. The SEC alleges … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, SEC, Securities Act, Securities Exchange Act
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SEC Obtains Emergency Relief against Anthony Davian and His Asset Management Firm
SEC v. Anthony J. Davian and Davian Capital Advisors, LLC, Case No. 5:13-cv-1762 (N.D. Ohio.). On August 14, 2013, the SEC announced it obtained a temporary restraining order and asset freeze against Anthony Davian and his asset management firm for … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Charges Joseph Tocci with Insider Trading
SEC v. Joseph M. Tocci, Case No. 1:13-cv-11924 (D. Mass.). On August 12, 2013, the SEC announced insider trading charges against Joseph M. Tocci. The SEC alleges that Tocci traded on the basis of confidential information he obtained when he … Continue reading
SEC Obtains Emergency Asset Freeze against Steven Heinz
SEC v. Steven B. Heinz, et al., Case No. 2:13-cv-00753 (D. Utah). On August 8, 2013, the SEC announced it obtained a temporary restraining order and emergency asset freeze against Steven B. Heinz and his company S.B. Heinz and Associates, … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
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SEC Charges Cort Poyner and Mohammad Dolah with Market Manipulation
SEC v. Cort Poyner and Mohammad Dolah, Case No. CV 13-4331 (E.D.N.Y). On August 6, 2013, the SEC announced fraud charges against Cort Poyner and Mohammad Dolah in connection with an alleged bribery scheme designed to manipulate the market for … Continue reading
Posted in Securities
Tagged Fraud, Market Manipulation, SEC, Securities Act, Securities Exchange Act
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SEC Charges John Rizzo with Running A Boiler Room Scheme
SEC v. John G. Rizzo, Case No. 3:13-cv-01801 MMA BLM (C.D. Cal.). On August 6, 2013, the SEC announced fraud charges against John G. Rizzo, the former CEO of iTrackr Systems Inc. The SEC alleges that Rizzo used escrow agents … Continue reading
SEC Charges Green Former Green Mountain Coffee Employee Chad McGinnis and His Friend Sergey Pugach
SEC v. Chad C. McGinnis and Sergey Pugach, Case No. 3:13-cv-1047 AVC (D. Conn.). On August 2, 2013, the SEC announced insider trading charges against former Green Mountain Coffee Employee Chad McGinnis and his friend Sergey Pugach. According to the … Continue reading
Posted in Securities
Tagged Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Prevails at Securities Fraud Trial Against Former Goldman Vice President Fabrice Tourre
Yesterday, the jury reached a much-anticipated verdict in the SEC’s case against Fabrice Tourre. The details are here.
SEC Charges Cedric Cañas Maillard and Julio Marín Ugedo with Insider Trading
SEC v. Cedric Cañas Maillard and Julio Marín Ugedo, Case No. 13-cv-5299 (S.D.N.Y.). On July 31, 2013, the SEC announced insider trading charges against Cedric Cañas Maillard, a former executive advisor to the CEO of Spanish bank Banco Santander S.A., … Continue reading
SEC Charges Sandeep Aggarwal With Tipping S.A.C. Capital Portfolio Manager
SEC v. Richard Lee and Sandeep Aggarwal, Case No. 13-cv-5185 RMB (S.D.N.Y.). On July 30, 2013, the SEC announced it amended the complaint filed last week against S.A.C. portfolio manager Richard Lee to add charges that Sandeep Aggarwal tipped Lee. … Continue reading
Securities Enforcement Blog 