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- 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 Charges James and Jeffrey Quay With Defrauding Elderly Investors
SEC v. James S. Quay and Jeffrey A. Quay, Case No. 1:12-cv-03429-RWS (N.D. Ga.). On October 4, 2012, the SEC announced fraud charges against James and Jeffrey Quay. James Quay (“Quay”) and his brother stole $560,000 from two women who … Continue reading
SEC Obtains Emergency Asset Freeze Against Repeat Offender Joseph Hilton in Oil Scam
SEC v. Joseph Hilton, et al.. On October 3, 2012, the SEC announced it obtained an emergency order freezing the assets of Joseph Hilton who has been charged with fraud. In 2010, the SEC obtained a final judgment against Joseph … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges Solar Company In Market Manipulation Case
SEC Sunrise Solar Corporation, Eddie D. Austin, Jr., and Carolyn Austin, Civil Action No. 5:12-cv-00918-OLG (W.D. Tx.). On October 1, 2012, the SEC announced it had filed fraud charges against Sunrise Solar Corporation, its former CEO Eddie D. Austin, Jr., … Continue reading
SEC Charges Bradley Holcom and Jose Pinedo in $42 Million Fraud Targeting Senior Citizens
SEC v. Bradley A. Holcom, Case No. 3:12-cv-01623 (S.D. Cal.); SEC v. Jose L. Pinedo, Case No. 3:12-cv-01620 (S.D. Cal.). On September 27, 2012, the SEC announced fraud charges against Bradley Holcom and Jose Pinedo. Holcom was behind an unregistered … Continue reading
SEC Charges Jonathan Bryant, Thomas Kelly, Carl Duncan and 8000, Inc. In Market Manipulation Scam
SEC v. 8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, Esq., Case No. 12-CV-7261 (S.D.N.Y.). On September 27, 2012, the SEC announced charges against 8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, … Continue reading
SEC Obtains Judgments Of More Than $135 Million in “Green” Ponzi Scheme
SEC v. Mantria Corporation, Troy B. Wragg, Amanda E. Knorr, Speed of Wealth, LLC, Wayde M. McKelvy, and Donna M. McKelvy, Case No. 09-cv-02676-CMA-MJW (D. Colo.). On September 18, 2012, the SEC announced it obtained final judgments against Troy B. Wragg, Amanda E. … Continue reading
SEC Obtains Temporary Asset Freeze and Restraining Order Against Louis Schooler and His Company in $50 Million Fraud Scheme
Securities and Exchange Commission v. Louis V. Schooler and First Financial Planning Corporation d/b/a Western Financial Planning Corporation, Case No. 12 CV 2164 LAB (JMA) (S.D. Cal.). On September 10, 2012, the SEC announced it obtained an asset freeze against … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges Edward Bronson And His Firm In Penny Stock Scheme
Securities and Exchange Commission v. Edward Bronson, et al., Case No. 12-CV-6421 (S.D.N.Y.). On August 22, the SEC charged Edward Bronson and his company, E-Lionheart Associates LLC, in a penny stock scheme. Bronson and E-Lionheart employees would makes cold calls … Continue reading
Posted in Securities
Tagged Penny Stock, SEC, Securities Act, Unregistered Securities Transactions
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SEC Files Action Against Paul Burks and ZeekRewards.com to Halt $600 Million Ponzi Scheme
SEC v. Rex Venture Group LLC et al., Case No. 3:12-CV-519 (W.D. N. Carolina). It seems as though we are reading about a new Ponzi scheme almost every day. On August 22, the SEC announced it filed a settled action … Continue reading
SEC Charges Ricardo Rojas in $7 Million Ponzi Scheme Targeting Evangelical Christians
SEC v. Ricardo Bonilla Rojas and Shadai Yire, Inc., Case No. 12-cv-1681 (D.P.R.). On August 21, the SEC announced fraud charges against Ricardo Rojas and his firm Shadai Yire. Rojas and his sales agents solicited investors claiming the investments were a risk-free … Continue reading
Securities Enforcement Blog 