by russell forkey | Dec 27, 2012 | Fraud and Misrepresentation, Insider Trading, SEC Enforcement Actions, SEC Enforcement Actions 2012
Securities and Exchange Commission v. Rajat K. Gupta and Raj Rajaratnam, Civil Action No. 11-CV-7566 (SDNY) (JSR) SEC Obtains Final Judgment on Consent as to Raj Rajaratnam The Securities and Exchange Commission recently announced that, on December 26, 2012, the...
by russell forkey | Dec 27, 2012 | Fraud and Misrepresentation, Penny Stock Fraud, SEC Enforcement Actions, SEC Enforcement Actions 2012
SECURITIES AND EXCHANGE COMMISSION v. ERIC TODD SEIDEN AND KAMAL ABDALLAH, Civil Action No. CV 09-3116 (KAM) (EDNY) COURT ENTERS FINAL JUDGMENTS BY CONSENT AGAINST SEC DEFENDANTS ERIC TODD SEIDEN AND KAMAL ABDALLAH The Securities and Exchange Commission recently...
by russell forkey | Dec 27, 2012 | Fraud and Misrepresentation, Hedge Fund Fraud News, Investment Advisor, SEC Enforcement Actions, SEC Enforcement Actions 2012
Securities and Exchange Commission v. Steven B. Hart, Civil Action No. 12-CV-8986 (S.D.N.Y.) SEC CHARGES NEW YORK-BASED FUND MANAGER WITH TWO WIDESPREAD FRAUDULENT TRADING SCHEMES SPANNING NEARLY FOUR YEARS The Securities and Exchange Commission recently charged New...
by russell forkey | Dec 27, 2012 | Broker/Dealer, Fraud and Misrepresentation, Penny Stock Fraud, SEC Enforcement Actions, SEC Enforcement Actions 2012
Securities and Exchange Commission v. Danny Garber, Michael Manis, Kenneth Yellin, Jordan Feinstein, Aluma Holdings LLC, Azure Trading LLC, Coastal Group Holdings, Inc., Greyhawk Equities LLC, Leonidas Group Holdings LLC, The Leonidas Group LLC, Nismic Sales Corp.,...
by russell forkey | Dec 27, 2012 | Fraud and Misrepresentation, Ponzi Scheme News, SEC Enforcement Actions, SEC Enforcement Actions 2012
Securities and Exchange Commission v. GLR Capital Management, LLC, GLR Advisors, LLC, John A. Geringer, and Relief Defendant GLR Growth Fund, L.P., Civil Action No. 12-02663 SEC FILES CHARGES AGAINST TWO OTHERS IN NORTHERN CALIFORNIA FUND MANAGER’S $60 MILLION...
by russell forkey | Dec 27, 2012 | Fraud and Misrepresentation, SEC Enforcement Actions, SEC Enforcement Actions 2012
SEC Charges Research Analyst with Trading and Tipping Ahead of IBM-SPSS Merger The Securities and Exchange Commission recently announced additional charges in an insider trading case against two brokers who traded on nonpublic information ahead of IBM...
by russell forkey | Dec 17, 2012 | Fraud and Misrepresentation, Penny Stock Fraud, SEC Enforcement Actions, SEC Enforcement Actions 2012
Securities and Exchange Commission v. Spencer Pharmaceutical Inc., Jean-François Amyot, Maximilien Arella, Ian Morrice, IAB Media Inc., and Hilbroy Advisory Inc., Civil Action No. 1:12-cv-12334 (D. Mass.) SEC Charges Company based in Massachusetts and Canada and Other...
by russell forkey | Dec 17, 2012 | Broker/Dealer, Fraud and Misrepresentation, Investment Advisor, SEC Enforcement Actions, SEC Enforcement Actions 2012, Securities and Securities Fraud
SEC Charges Connecticut-Based Adviser for “Skin in the Game” Misstatements About CDOs The Securities and Exchange Commission recently charged a Connecticut-based investment adviser with falsely stating to clients that it was co-investing alongside them in...
by russell forkey | Dec 17, 2012 | Broker/Dealer, Fraud and Misrepresentation, Investment Advisor, SEC Enforcement Actions, SEC Enforcement Actions 2012, Securities and Securities Fraud
Securities and Exchange Commission v. Aletheia Research and Management, Inc. and Peter J. Eichler, Jr., United States District Court for the Central District of California, Civil Action No. 12-cv-10692-JFW-(RZx) SEC CHARGES SANTA MONICA-BASED HEDGE FUND MANAGER IN...
by russell forkey | Dec 14, 2012 | Fraud and Misrepresentation, SEC Enforcement Actions, SEC Enforcement Actions 2012, Securities and Securities Fraud
SEC Charges Massachusetts Company, CEO and Promoters With $9 Million Securities Fraud Recently, the Securities and Exchange Commission filed an enforcement action in federal court in Boston against BioChemics, Inc., a biopharmaceutical company based in Danvers,...
