Articles Posted in SEC Enforcement Actions

In The Matter Of Steven Yamashiro: September, 2012: The Securities and Exchange Commission recently announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Steven Boyle Yamashiro…

In the Matter of Jason A. D’Amato September, 2012: The Securities and Exchange Commission recently announced the issuance of an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the…

Brian M. Campbell Sanctioned September, 2012: The Securities and Exchange Commission recently announced that Brian M. Campbell has been barred from association with any broker, dealer, or investment adviser. The sanctions were ordered in an administrative proceeding before an administrative law judge, following a November 2011 conviction for mail fraud. The wrongdoing underlying Campbell’s conviction…

In The Matter Of Daniel Bogar, Bernerd E. Young, and Jason T. Green September, 2012: The Securities and Exchange Commission recently announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k)…

Securities and Exchange Commission v. 8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, Esq., Civil Action No. 12-CV-7261 (S.D.N.Y.) September, 2012: SEC Charges Company and its Two Principals and Attorney in Stock Manipulation Scheme The Securities and Exchange Commission recently announced the filing of an eforcement action, in federal court in…

SEC Charges Bank Executives in Nebraska With Understating Losses During Financial Crisis September, 2012: The Securities and Exchange Commission recently announced that it charged three former bank executives in Nebraska for participating in a scheme to understate millions of dollars in losses and mislead investors and federal regulators at the height of the financial crisis.…

SEC Charges N.Y.-Based Brokerage Firm With Layering September, 2012: The Securities and Exchange Commission recently announced that it charged a New York-based brokerage firm and three executives for allowing traders outside the U.S. to access the markets and conduct manipulative trading through accounts the firm controlled. The SEC’s investigation found that Hold Brothers On-Line Investment…

In the Matter of Prescient Capital Partners, Ltd. and Steven C. Young On September 24, 2012, the Commission issued an Order Instituting Cease-And-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, And Imposing Remedial Sanctions And a Cease-And-Desist Order (Order) against Prescient Capital Partners, Ltd. and Steven C. Young. The…

In the Matter of Roger L. Shoss, Esq. On September 24, 2012, the Commission issued an Order of Suspension Pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice (the “Order”) against Roger L. Shoss, Esq. (“Shoss”). The Order finds that Shoss is licensed as an attorney in Texas with an office in Houston, Texas.…

SEC Enforcement Action: In the Matter of Bradford Keith Dent On September 21, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 against Bradford Keith Dent. Dent was a registered representative with Carty & Company, a broker-dealer with offices in Memphis, Tennessee registered with…