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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 China-based Executives Dejun “David” Zou and Jianping “Amy” Qiu with Stealing Money and Overstating Revenues
SEC v. RINO International Corporation, et al., Case No. 1:13-cv-00711 (D.D.C). On May 15, 2013, the SEC announced it filed fraud charges against China-based RINO, Corp., its former CEO, Dejun “David” Zou, and its chairman of the board, Jianping “Amy” … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, SEC, Securities Act, Securities Exchange Act
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SEC Charges China-based Sabuye, Inc. and former CFO James T. Crane with Fraud
SEC v. Subaye, Inc. and James T. Crane, Case No. 13-civ-3114 (S.D.N.Y). On May 8, 2013, the SEC announced it filed fraud charges against China-based Subaye, Inc. and its former CFO, James T. Crane. According to the SEC, Subaye purported … Continue reading
SEC Charges Traders in Illegal Kickback Scheme
SEC v. Thomas Alberto Clarke Bethancourt et al, Case No. 13-cv-3074 (S.D.N.Y). On May 6, 2013, the SEC announced it filed fraud charges against Tomas Alberto Clarke Bethancourt, Iuri Rodolfo Bethancourt, Jose Alejandro Hurtado, and Haydee Leticia Pabon. The SEC … Continue reading
Posted in Securities
Tagged Broker-Dealer, Fraud, SEC, Securities Act, Securities Exchange Act
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SEC Charges the City of Harrisburg with Securities Fraud
In the Matter of the City of Harrisburg, Pennsylvania, Admin. Proc. File No. 3-15316. On May 6, 2013, the SEC announced it filed a settled administrative proceeding against the City of Harrisburg. The SEC’s Order finds that Harrisburg is virtually … Continue reading
Level Global Settles SEC Insider Trading Case for $21.5 Million
SEC v. Adondakis et al., Case No. 12 Civ. 0409 HB (S.D.N.Y). On April 30, 2013, the SEC announced it settled insider trading charges against Level Global Investors LP. In January 2012, the SEC filed insider trading charges against Level … Continue reading
Posted in Securities
Tagged Hedge Fund, illegal trades, Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Sues the City of Victorville, California and Others for Defrauding Municipal Bond Investors
SEC v. City of Victorville et al., Case No. EDCV13-0776 JAK (DIBx). On April 29, 2013, the SEC announced charges against the City of Victorville, Calif., the Southern California Logistics Airport Authority, Kinsell, Newcomb & DeDios (“KND”), Jeffrey Kinsell, Janees … Continue reading
Posted in Securities
Tagged Fraud, municipal bonds, SEC, Securities Act, Securities Exchange Act
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SEC Charges Mark Begelman with Insider Trading
SEC v. Mark D. Begelman, Case No. 9:13-cv-80396 (S.D. Fl.). On April 22, 2013, the SEC announced it filed a settled insider trading case against Mark Begelman for trading based on confidential information obtained through his membership in the World … Continue reading
SEC Files Insider Trading Charges against Trader Joseph Mancuso
SEC v. Joseph Mancuso, Case No. 13-cv-2555 (S.D.N.Y.). On April 17, 2013, the SEC announced it filed insider trading charges against Joseph Mancuso who used to be a trader at registered broker-dealer Schottenfeld Group. The SEC alleges that Mancuso obtained … Continue reading
SEC Charges Brokers Jeffrey Stebbins and Corbin Jones with Stealing Investments
SEC v. Jeffrey Stebbins and Corbin Jones, Case No. 2:13-cv-00755 SRB (D. Az.). On April 16, 2013, the SEC announced it filed fraud charges against Jeffrey Stebbins and Corbin Jones. The SEC alleges that Stebbins and Jones solicited investors for … Continue reading
Posted in Securities
Tagged Fraud, Penny Stock, SEC, Securities Act, Securities Exchange Act
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SEC Files Settled Insider Trading Charges Against Investment Banker Richard Bruce Moore
SEC v. Richard Bruce Moore, Case No. 13-cv-2514 HB (S.D.N.Y.). On April 16, 2013, the SEC announced it filed settled insider trading charges against Richard Bruce Moore. According to the SEC, Moore purchased American Depositary Receipts (“ADRs”) of Tomkins plc, … Continue reading
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