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: Unregistered Securities Transactions
SEC Charges Richard and Susan Olive with Defrauding Senior Citizens Investing in Charity
SEC v. Richard and Susan Olive, Case No. 2:13-cv-14047 (S. D. Fl.); SEC v. We the People, Inc. of the United States, Case No. 2:13-cv-14050 (S. D. Fl.); SEC v. William G. Reeves, Esq., Case No. 2:13-cv-14048 (S. D. Fl.). … Continue reading
SEC Charges Five Cay Clubs Resorts and Marinas Executives in $300 Million Ponzi Scheme
SEC v. Barry J. Graham, Fred Davis Clark, Jr., a/k/a Dave Clark, Cristal R. Coleman, a/k/a Cristal Clark, David W. Schwarz, Ricky Lynn Stokes, Case No. 4:13-cv-10011 (S. D. Fl.). On January 30, 2013, the SEC announced fraud charges against … Continue reading
SEC Charges Jonathan Gilchrist with Stock Manipulation
SEC v. Jonathan C. Gilchrist, Case No 4:13-cv-00163 (S.D. Tex.). On January 23, 2013, the SEC announced it filed charges against Jonathan C. Gilchrist for engaging in a stock manipulation scheme in violation of the registration and antifraud provisions of the … Continue reading
SEC Obtains Summary Judgment In Offering Fraud
SEC v. Francis E. Wilde, Steven E. Woods, Mark A. Gelazela, Bruce H. Haglund, Matrix Holdings LLC, BMW Majestic LLC, IDLYC Holdings Trust LLC, and IDLYC Holdings Trust, et al., Case No. SACV 11-315 DOC (AJWx ) (C.D. Cal.). On … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
Leave a comment
SEC Files Settled Offering Fraud Case Against Rodney Ratheal
SEC v. Premco Western, Inc. and Rodney Scott Ratheal, Case No. 2:12-cv-01120-BSJ (D. Utah). On December 10, 2012, the SEC announced it filed a settled fraud action against Premco Western, Inc., an oil and gas company that drills on land … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
Leave a comment
SEC Charges James Ellis With Brining Victims Into Ponzi Scheme
SEC v. James Ellis, Case No. 12-cv-62211 (S.D. Florida.). On November 9, 2012, the SEC announced charges against James Ellis. The SEC alleges that Ellis was involved in a Ponzi scheme with George Elia. Ellis found investors and introduced them … Continue reading
SEC Charges Electronic Game Company Executives And Their Outside Auditor With Fraud
SEC v. Lee Cole, Linden Boyne, Kevin Donovan, and Timothy Quintanilla (S.D.N.Y). On November 8, 2012, the SEC announced it charged Lee Cole, Linden Boyne, Kevin Donovan, and Timothy Quintanilla with fraud. Cole was the CEO of Electronic Game Card, … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
Leave a comment
SEC Charges James Mulholland, Jr. and Thomas Mulholland in Real Estate Offering Fraud
SEC v. James C. Mulholland, Jr. and Thomas Mulholland, Case No. 12-cv-14663 (E.D. Mich.). On October 23, 2012, the SEC announced fraud charges against James Mulholland, Jr. and his brother Thomas Mulholland. The case concerns the Mulhollands’ real estate business … Continue reading
SEC Charges Geoffrey Lunn, Darlene Bishop and Vincent Curry in $5.77 Million Investment Scheme
Securities and Exchange Commission v. Geoffrey H. Lunn, Darlene A. Bishop and Vincent G. Curry, Case No. 12-cv-02767 (D. Colo.). On October 18 2012, the SEC announced charges against Geoffrey H. Lunn, Darlene A. Bishop and Vincent G. Curry for … Continue reading
SEC Obtains Judgment Against Derek F.C. Elliott in Connection with Fraudulent Offer of Interests in Dominican Republic Resorts
SEC v. James S. James B. Catledge, et al., Case No. 2:12-cv-00887-JCM-RJJ (D. Nevada). On October 15, 2012, the SEC announced it obtained a judgment against Derek F.C. Elliott. The SEC’s enforcement action was filed in May 2012, against James … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
Leave a comment
Securities Enforcement Blog 