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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 Charges College Football Hall of Fame Coach James M. Donnan, III, and Gregory L. Crabtree in $80 Million Ponzi Scheme
Securities and Exchange Commission v. James M. Donnan, III, et al., Case No. 1:12-CV-02831-ODE (N.D. Ga.). On August 17, 2012, the SEC announced fraud charges against College Football Hall of Fame coach and ESPN sports commentator James Donnan and Gregory … Continue reading
SEC Charges Yossef Kahlon For Unregistered Stock Sales of $7.7 Million
Securities and Exchange Commission v. Yossef Kahlon, et al., Civil Action No. 4:12-CV-517 (E.D. Tex.) On August 17, 2012, the SEC announced charges against Jossef Kahlon, a/k/a/ Yossef Kahlon and TJ Management Group, LLC (“TJM”) for selling the stock of … Continue reading
Posted in Securities
Tagged SEC, Securities Act, Unregistered Securities Transactions
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SEC Obtains Emergency Asset Freeze Against Michael Turnock and William Sullivan in $15 Million Ponzi Scheme
Securities and Exchange Commission v. Bridge Premium Finance, LLC, Michael J. Turnock and William P. Sullivan, II, Defendants, 12-CV-6221 (D. Colo.). On August 15, 2012, the SEC announced fraud charges and an emergency asset freeze against Bridge Premium Finance LLC, … Continue reading
SEC Charges Ivan Wade Brown And His Companies In $27 Million Fraud
Securities and Exchange Commission v. Avanti Capital Partners, LLC, et al., 2:12-cv-788-BCW (D. Utah). On August 13, 2012, the SEC filed charges against Ivan Wade Brown and his two companies: Highland Residential, LLC and Avanti Capital Partners, LLC (Avanti). This … Continue reading
SEC Charges Edward M. Laborio In Boiler Room Scheme
Securities and Exchange Commission v. Edward M. Laborio, Jonathan Fraiman, Matthew K. Lazar, Envit Capital, LLC, Envit Capital Group, Inc., Envit Capital Holdings, Inc., Envit Capital Private Wealth Management, LLC, Envit Capital Multi Strategy Mixed Investment Fund I LP, Aetius … Continue reading
SEC Files Settled Fraud Action Against Kristoffer Krohn, Michael Krohn, Stephen Earl and their Real Estate Investment Company
SEC v. The Companies (TC), LLC et al., Case No. 2:12-cv-00765-DN (D. Utah). On August 7, 2012, the SEC announced the filing of a settled action against The Companies (TC) and its principals Kristoffer Krohn, Stephen Earl and Michael Krohn. … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Unregistered Securities Transactions
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SEC Charges Fund Manager Peter Siris and Others With Fraud Related to Chinese Reverse Merger Company
SEC v. Peter Siris, et al.; SEC v. Alan Sheinwald, et al.; In the Matter of Peter Dong Zhou; In the Matter of Stephen Mazuchowski (A/K/A Steve Mazur); In the Matter of James Fuld, Jr. On July 30, 2012, the … Continue reading
SEC Charges Emanuel Sarris and His Firm in $30 Million Ponzi Scheme
SEC v. Emanuel L. Sarris, Sr., et al., Case No. 12-cv-04272-TON (N.D. Pa.). On July 30, 2012, the SEC announced fraud charges against Sarris and his firm Sarris Financial Group, Inc. (“Sarris Financial”) for their role in a Ponzi scheme … Continue reading
SEC Files Settled Offering Fraud Action Against Michael Bodanza
SEC v. Michael A. Bodanza, et al., Case No. 1:12-cv-1954 (N.D. Ohio). On July 30, 2012, the SEC announced the filing of a settled civil action against Michael Bodanza, the former CFO and founding member of Preferred Financial Holdings Co., … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges FalconStor Software with Bribery
Securities and Exchange Commission v. FalconStor Software, Inc., Case No. 12-3200 (DRH) (E.D.N.Y). On June 27, 2012, the SEC charged FalconStor Software, Inc., a data storage company, with misleading investors about bribes it paid to obtain business with a J.P. Morgan … Continue reading
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