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

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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

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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

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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

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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

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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

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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

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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

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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

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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

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