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Tag Archives: Unregistered Securities Transactions
SEC Charges Wayne Palmer and National Note of Utah with $100 Million Real-Estate Based Ponzi Scheme
Securities and Exchange Commission v. National Note of Utah, LC and Wayne LaMar Palmer, Case No. 2:12-cv-00591. On June 25, 2012, the SEC obtained a temporary restraining order and asset freeze against Wayne L. Palmer and his firm, National Note … Continue reading
SEC Charges 14 Sales Agents in $415 million Ponzi Scheme
SEC v. Bryan Arias et al., Case No. CV12-2937 (E.D.N.Y.). On June 12, 2012, the SEC charged 14 sales agents who misled investors and illegally sold securities for a Long Island-based investment firm at the center of a $415 million … Continue reading
SEC Charges George Levin and Frank Preve in $157 million Ponzi Scheme
SEC v. George G. Levin and Frank J. Preve, Case No. 1:12-cv-21917-UU (S.D. Fl.). On May 22, 2012, the SEC charged Levin and Preve, who provided the biggest influx of funds into one of the largest-ever Ponzi schemes in South Florida. From … Continue reading
Posted in Securities
Tagged Fraud, Ponzi Scheme, SEC, Securities Exchange Act, Unregistered Securities Transactions
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SEC Obtains Order to Pay More Than $2.8 million Against New Futures Trading International Corporation and Henry Roche in Ponzi Scheme
SEC v. New Futures Trading International Corporation and Henry Roche, Case No. 11-CV-532-JL (D. NH.) On May 24, 2012 the U.S. District Court for the District of New Hampshire entered final judgments by default against New Futures Trading International Corporation … Continue reading
SEC Charges David M. Connolly in Multi-Million Dollar Real Estate Investment Scam
SEC v. David M. Connolly, Case No. 2:12-cv-02952-WJM-MF (D.N.J.) On May 17, 2012, the SEC charged David Connolly with operating a multi-million-dollar Ponzi-like scheme involving a series of investment vehicles formed for the purpose of purchasing and managing real estate … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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Securities Enforcement Blog 