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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: Unregistered Securities Transactions
SEC Settles Penny Stock Case Against Curt Kramer for $1.4 Million
In the Matter of Curt Kramer et al., Admin Proc. No. 3-15621. On November 25, 2013, the SEC announced the filing of a settled Order Instituting Cease-and-Desist Proceedings(“OIP”) against Curt Kramer and his firms Mazuma Corporation, Mazuma Funding Corporation, and … Continue reading
Posted in Securities
Tagged SEC, Securities Act, Unregistered Securities Transactions
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SEC Charges Gary Snisky with Defrauding Elderly Investors
SEC v. Gary C. Snisky, Case No. 1:13-cv-03149 (D. Colo.). On November 21, 2013, the SEC announced it charged Gary Snisky with defrauding elderly investors. According to the SEC, Snisky targeted retired annuity holders by using insurance agents to sell … Continue reading
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 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 Charges Jenny Coplan in Affinity Fraud and Ponzi Scheme
SEC v. Jenny E. Coplan, Case No. 1:13-cv-62127 (S.D. Fla.). On September 30, 2013, the SEC announced charges against Jenny E. Coplan for allegedly conducting a Ponzi scheme and affinity fraud that targeted the Colombian-American community. According to the SEC, … Continue reading
SEC Charges Thought Development, Inc. and its Owner Alan Amron with Registration Violations
SEC v. Thought Development, Inc. and Alan Amron, Case No. 1:13-cv-23476 (S.D. Fla.). On September 26, 2013, the SEC announced charges against Thought Development, Inc. (“TDI”) and its founder and chairman Alan Amron with violations Sections 5(a) and 5(c) of … Continue reading
Posted in Securities
Tagged SEC, Securities Act, Unregistered Securities Transactions
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SEC Charges Peter Kirschner, Stuart Rubens, Advanced Equity Partners and Premiere Consulting with Fraud and Registration Violations
SEC v. Advanced Equity Partners, LLC, Premiere Consulting, LLC, Peter Kirschner and Stuart Rubens, Case No. 3:13-cv-62100 (S.D. Fla.). On September 26, 2013, the SEC announced fraud charges against Peter Kirschner, a repeat offender, his business partner Stuart Rubens, and … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges Game Company CEO Troy Lyndon and Ronald Zaucha with Fraud
SEC v. Troy Lyndon and Ronald Zaucha, Case No. CV13 00486 SOM KSC (D. Haw.). On September 25, 2013, the SEC announced fraud charges against Troy Lyndon, the founder, CEO and CFO of a religious-themed video game manufacturer and his … Continue reading
SEC Charges Larry Polhill with Investment Fraud
SEC v. Larry R. Polhill, Case No. EDCV13-1729 MRP (SPx) (C.D. Cal.). On September 24, 2013, the SEC announced charges against Larry Polhill for allegedly defrauding hundreds of investors who bought promissory notes believing they were secured by collateral. According … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Files Settled Action against Brian Elrod and Nova Dean Pack in Fraudulent Promissory Note Offering
SEC v. Brian G. Elrod and Nova Dean Pack, Case No. 13-CV-02449WYD (D. Colo.). On September 9, 2013, the SEC announced it filed settled fraud charges against Brian G. Elrod in connection with a promissory note offering for which Nova … Continue reading
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