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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 Parker Drilling Company with FCPA Violations
SEC v. Parker Drilling Company, Case No. 1:13-cv-461 (E.D. Va.). On April 16, 2013, the SEC announced it filed settled FCPA charges against Parker Drilling Company, an international drilling services firm. According to the SEC, Parker Drilling authorized payments to … Continue reading
SEC Charges David Miller in Unauthorized Trading Scheme
SEC v. David Miller, Case No. 3:13-cv-00522 (D. Conn.). On April 15, 2013, the SEC announced it filed a partially settled enforcement action against David Miller, a former trader with Rochdale Securities LLC. The SEC alleges that Miller received an … Continue reading
Posted in Securities
Tagged Broker-Dealer, Fraud, SEC, Securities Act, Securities Exchange Act
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SEC Charges Scott Reiman with Insider Trading
In the Matter of Scott Reiman, Admin. Proc. File No. 3-15277. On April 15, 2013, the SEC announced it initiated and settled an administrative proceeding charging Scott Reiman with insider trading. According to the SEC Order Instituting Proceedings, Reiman is … Continue reading
SEC Sues Former KPMG Partner for Insider Trading
SEC v. Scott London and Bryan Shaw, Case No. CV 13-02558 (C.D. Cal.). On April 11, 2013, the SEC announced it filed insider trading charges against former KPMG partner Scott London and his friend Bryan Shaw. The SEC alleges that … Continue reading
SEC Charges Medical Device Company Employee for Illegally Tipping His Brother
SEC v. Tai Nguyen and Thanhha Bao, Case No. 12-cv-5009 (GBD) (S.D.N.Y.). On April 8, 2013, the SEC announced an enforcement action against ThanhHa Bao, who worked in the finance department at Abaxis Inc. The SEC alleges that Bao routinely … Continue reading
Posted in Securities
Tagged Hedge Fund, Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Charges Glenn Hoppes and His Companies with Offering Fraud in Connection with Oil Drilling Projects
SEC v. Glenn Hoppes, United States Energy Corp., TN-KY Development Fund LP, TN-KY Development Fund II LP and TN-KY Development Fund III LP, Case No. 8:13-cv-00868-SDM-AEP (M.D. Fl.). On April 8, 2013, the SEC announced an enforcement action against Glenn … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Obtains Temporary Restraining Order against British Internet Investment Scheme
SEC v. Inter Reef, Ltd. dba Profitable Sunrise, Melland Company S.R.O., Color Shock S.R.O., Solutions Company S.R.O. and Fortuna-K S.R.O., Case No. 1:13-cv-1104 (D. Ga.). On April 4, 2013, the SEC announced it filed an emergency enforcement action against Inter … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Regulation FD and Social Media
Yesterday, I was invited on Bloomberg TV to discuss whether disclosure of corporate information through social media outlets like Twitter and Facebook may violate Reg. FD.
SEC Settles S.A.C. Capital Insider Trading Case for $600 Million
SEC v. CR Intrinsic Investors, LLC et al., Case No. 12 Civ. 8466 VM (S.D.N.Y.). On March 18, 2013, the SEC announced it settled insider trading charges against CR Intrinsic Investors, an affiliate of S.A.C. Capital for more than $600 … Continue reading
Posted in Securities
Tagged Hedge Fund, Insider Trading, SEC, Securities Exchange Act
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SEC Obtains Asset Freeze Against Investment Adviser Gregg Caplitz Charged with Stealing Client Money
SEC v. Gregg D. Caplitz, et al., Case No. 1:13-cv-10612 MLW (D. Mass.). On March 18, 2013, the SEC announced it obtained an asset freeze against investment adviser Gregg D. Caplitz. The SEC alleges that Caplitz and Insight Onsite Strategic … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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Securities Enforcement Blog 