SEC Enforcement Actions 2011

Atlantis Technology Group and Christopher M. Dubeau

Published on: November 13, 2011 | By Russell L. Forkey, P.A.

Federal and State Court Litigation Attorney, Russell L. Forkey, Esq.

November, 2011:

FEDERAL COURT ENTERS JUDGMENTS OF PERMANENT INJUNCTION AND OTHER RELIEF AGAINST DEFENDANTS CHRISTOPHER M. DUBEAU AND ATLANTIS TECHNOLOGY GROUP

James N. Fry, Michelle W. Palm, and Arrowhead Capital Management LLC

Published on: November 13, 2011 | By Russell L. Forkey, P.A.

Federal and State Securities Fraud and Misrepresentation Litigation and Arbitration Lawlyer, Russell L. Forkey, Esq.

November, 2011:

Securities and Exchange Commission v. James N. Fry, Michelle W. Palm, and Arrowhead Capital Management LLC, Civil Action No. 0:11-CV-03303 RHK/JJK (D. Minn.)

ThinkStrategy Capital Management, LLC and Chetan Kapur

Published on: November 13, 2011 | By Russell L. Forkey, P.A.

Federal and State Securities Fraud and Misrepresentation Litigation and Arbitration Attorney, Russell L. Forkey, Esq.

November, 2011:

SEC Charges New York-Based Hedge Fund Managers ThinkStrategy Capital and Chetan Kapur with Securities Fraud

Securities and Exchange Commission v. Atlantis Technology Group and Christopher M. Dubeau, Civil Action No. 10-61824-CIV-ZLOCH (S.D. Fla.)

Published on: November 4, 2011 | By Russell L. Forkey, P.A.

Securities Fraud Litigation Lawyer, Russell L. Forkey, Esq.

November, 2011:

Securities and Exchange Commission v. Atlantis Technology Group and Christopher M. Dubeau, Civil Action No. 10-61824-CIV-ZLOCH (S.D. Fla.)

Banco Espirito Santo S.A Charged with Securities Fraud

Published on: October 24, 2011 | By Russell L. Forkey, P.A.

Securities Fraud, Misrepresentation and Negligent Supervision Lawyer, Russell L. Forkey, Esq.

October, 2011:

The Securities and Exchange Commission (SEC) recently charged multinational banking conglomerate Banco Espirito Santo S.A. (BES) with violations of the broker-dealer and investment adviser registration provisions and the securities transaction registration provisions of the federal securities laws.

Citigroup to Pay $285 Million to Settle SEC Charges for Misleading Investors About CDO Tied to Housing Market

Published on: October 19, 2011 | By Russell L. Forkey, P.A.

Collateralized Debt Obligations Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq.

October, 2011:

The Securities and Exchange Commission (SEC) recently charged Citigroup’s principal U.S. broker-dealer subsidiary with misleading investors about a $1 billion collateralized debt obligation (CDO) tied to the U.S. housing market in which Citigroup bet against investors as the housing market showed signs of distress. The CDO defaulted within months, leaving investors with losses while Citigroup made $160 million in fees and trading profits.

Long Term-Short Term, Inc. and Freddie Rick

Published on: October 19, 2011 | By Russell L. Forkey, P.A.

Securities Fraud and Misrepresentation Litigation Attorney, Russell L. Forkey, Esq.

October, 2011:

Litigation Release No. 22133

Daniel W. Nodurft

Published on: October 17, 2011 | By Russell L. Forkey, P.A.

Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney, Russell Forkey, Esq.

October, 2011:

Securities and Exchange Commission v. Daniel W. Nodurft, Case No. 8:09-cv-866-T26/TGW (M.D. Fla.)

Joseph P. Cillo

Published on: October 14, 2011 | By Russell L. Forkey, P.A.

Penny Stock Fraud and Misrepresentation Litigation and FINRA Arbitration Lawyer, Russell L. Forkey, Esq.

October, 2011:

Litigation Release No. 22126

Wall Street Capital Funding LLC, Philip Cardwell, Roy Campbell, and Aaron Hume

Published on: October 14, 2011 | By Russell L. Forkey, P.A.

Penny Stock Securities Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq.

October, 2011:

SECURITIES AND EXCHANGE COMMISSION LITIGATION RELEASE NO. 22125 / OCTOBER 14, 2011