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Preview: SEC.gov Updates: Litigation Releases

SEC.gov Updates: Litigation Releases



The latest litigation releases from the Securities and Exchange Commission.



Published: Mon, 27 Mar 2017 00:00:01 GMTMon, 27 Mar 2017 00:00:01 GMTThu, 23 Mar 2017 00:00:01 GMT

Last Build Date: Mon, 27 Mar 2017 17:02:25 EDTMon, 27 Mar 2017 06:09:44 EDTThu, 23 Mar 2017 15:26:11 EDT

 



LottoNet Operating Corp., et al.

Mon, 27 Mar 2017 17:02:25 EDT

SEC Halts Boiler Room Scheme Involving State Lottery Tickets



Nino Coppero del Valle et al.

Mon, 27 Mar 2017 06:09:44 EDT

Overseas Traders Paying Back All Profits Plus Penalties In Insider Trading Case



Ariel Darvasi and Amir Waldman

Fri, 24 Mar 2017 16:44:28 EDT

SEC Obtains Asset Freeze in Suspected Insider Trading on Mobileye N.V. Acquisition



TelexFree, Inc. et al.

Fri, 24 Mar 2017 15:32:44 EDT

Massachusetts-Based TelexFree President Sentenced to 6 Years Imprisonment for Operating Pyramid Scheme



Dr. Keith Laggos

Thu, 23 Mar 2017 17:21:43 EDT

SEC Charges former ZeekRewards Promoter and Consultant for Unlawfully Promoting the Scheme



Steven A. Hartung

Thu, 23 Mar 2017 15:26:11 EDT

Relative Tipped by Pharma Company Insider Agrees to Settle Insider Trading Charges



Thomas J. Connerton and Safety Technologies LLC

Thu, 23 Mar 2017 15:26:11 EDT

Defendant in SEC Enforcement Action and His Fiancée Indicted for Misleading Investors and Money Laundering



Christopher Ludwig

Thu, 23 Mar 2017 15:26:11 EDT

SEC Charges Virginia Man with Insider Trading



Michael J. Maciocio and David P. Hobson

Mon, 20 Mar 2017 16:27:54 EDT

Court Enters Final Judgments Against Two Rhode Island Men Charged With Insider Trading



Jerry Miller

Mon, 20 Mar 2017 15:50:32 EDT

SEC Charges Microcap Consultant with Fraud



Patrick Churchville, et al.

Fri, 17 Mar 2017 14:10:16 EDT

Rhode Island Investment Adviser Receives 7-year Sentence for Orchestrating a $21 Million Ponzi Scheme



Todd David Alpert

Wed, 15 Mar 2017 16:21:52 EDT

Security Professional Charged with Insider Trading



Strategic Capital Management, LLC and Michael J. Breton

Wed, 15 Mar 2017 16:21:52 EDT

SEC Obtains Judgment Against Former Investment Adviser Charged in Cherry-Picking Scheme; Adviser Pleads Guilty in Parallel Criminal Action



Andy Shin Fong Chen, et al.

Wed, 15 Mar 2017 16:21:52 EDT

SEC Charges Businessman with Misappropriating EB-5 Investments



Gregory E. Webb, et al.

Mon, 13 Mar 2017 16:41:54 EDT

Suburban Chicago Tech Executive Sentenced To 9 Years In Prison



Lek Securities Corporation, et al.

Fri, 10 Mar 2017 17:12:01 EST

SEC Charges Firms Involved in Layering, Manipulation Schemes



Nasir N. Shakouri, Robert S. Torino, Bronson L. Quon, John S. Hong and Jonathan K. Skarie

Fri, 10 Mar 2017 17:12:01 EST

Executives Charged With Manipulating Company's Accounting Systems To Steal Money



Notis Global, Inc. (f/k/a Medbox, Inc.), et al.

Fri, 10 Mar 2017 06:40:06 EST

SEC Charges Marijuana-Related Company and Executives With Touting Bogus Revenues



VIPWallSt Inc., Michael Todd Osborn, Shenae Catherine Osborn, and Virgil Gene Williams

Fri, 10 Mar 2017 06:40:06 EST

SEC Charges New York Company and Three Individuals in Fraudulent, Convertible Debt Scheme



Marrien Neilson

Tue, 07 Mar 2017 14:13:32 EST

SEC Obtains Final Judgment Against Former Senior Executive of BOK Financial



Joseph Meli, et al.

Tue, 07 Mar 2017 14:13:32 EST

SEC Charges Five Additional Relief Defendants and Expands Scope of Alleged Fraud in Ticket Resale Ponzi Scheme



Nathanial D. Ponn

Mon, 06 Mar 2017 17:15:17 EST

Massachusetts Resident Sentenced to 15 Months Imprisonment for Orchestrating a Scheme to Defraud Numerous Broker-Dealers



Yu-Cheng Lin

Mon, 06 Mar 2017 13:28:11 EST

SEC Obtains Preliminary Injunction Against Former Ubiquiti Employee Charged With Insider Trading



Capital Financial Partners, LLC et al.

Fri, 03 Mar 2017 17:43:06 EST

Defendants in SEC Case Involving Loans to Professional Athletes Sentenced Criminally



Arcturus Corporation, et al.

Fri, 03 Mar 2017 17:43:06 EST

Court Enters Final Judgment Against Promoters and Sellers of Fraudulent Oil and Gas Investments



Thomas D. Melvin, Jr., et al.

Fri, 03 Mar 2017 14:15:47 EST

SEC Obtains Split Jury Verdict in Insider Trading Case



Desarrolladora Homex S.A.B. de C.V

Fri, 03 Mar 2017 14:15:47 EST

SEC Charges Mexico-Based Homebuilder In $3.3 Billion Accounting Fraud



J. Patrick O'Neill and Robert H. Bray

Fri, 03 Mar 2017 14:15:47 EST

First Circuit Affirms Federal Criminal Conviction Against Boston-Area Defendant Accused of Insider Trading



Upstate Law Group, LLC, et al.

Fri, 03 Mar 2017 14:15:47 EST

SEC Files Subpoena Enforcement Action Against Four Entities in Investigation of Investments in Pension Income Streams



Renato Rodriguez and Gutemberg Dos Santos

Fri, 03 Mar 2017 14:15:47 EST

SEC Charges Promoters Behind Pyramid Scheme



One or More Unknown Traders in the Securities of Fortress Investment Group, LLC

Wed, 01 Mar 2017 07:17:34 EST

SEC Freezes Assets of Unknown Traders in Supsected Insider Trading Ahead of Fortress Acquisition



Tropikgadget FZE, et al.

Tue, 28 Feb 2017 18:14:14 EST

SEC Obtains Final Judgments Against Promoter and Recipients of Illicit Proceeds from Pyramid Scheme Targeting Latino Communities



Christopher J. Hall

Mon, 27 Feb 2017 17:14:00 EST

SEC Obtains Favorable Jury Verdict Against Margin Borrower in SEC Fraud Action



Harrison Schumacher, et al.

Fri, 24 Feb 2017 17:13:24 EST

SEC Obtains Final Judgment Against Operator of California-Based Oil and Gas Offering Fraud and Relief Defendants



Sean Stewart et al.

Wed, 22 Feb 2017 15:50:23 EST

Former Investment Banker Sentenced to Three Years in Prison for Insider Trading



FX & Beyond Corporation et al.

Tue, 21 Feb 2017 17:49:27 EST

SEC Charges Virginia Man and Company with Forex-based Offering Fraud



William P. Carlson, Jr.

Tue, 21 Feb 2017 16:53:11 EST

SEC Charges Financial Adviser With Stealing Client Funds



James Y. Lee, et al.

Fri, 17 Feb 2017 17:46:09 EST

Court Enters Final Judgment In Favor of SEC Against Seven Relief Defendants Who Received Proceeds of Advisory Client Fraud



Darrell Glenn Hardaway and Hardaway Net-Works, Inc.

Fri, 17 Feb 2017 15:26:06 EST

Houston Man Charged with Conducting Multiyear Offering Fraud Targeting Fellow Members of His "Success Club"



Patrick O. Howard, et al.

Thu, 16 Feb 2017 16:23:09 EST

SEC Halts Fraudulent Offering of Private Fund Investments



John Abio and Abio Financial Group, Inc.

Thu, 16 Feb 2017 13:49:28 EST

SEC Sues Unregistered Broker Who Received $3 Million in Commissions From Securities Sales Related to Alleged Offering Fraud



James P. Toner, Jr.

Tue, 14 Feb 2017 17:21:39 EST

Purported Real Estate Investment Manager Settles Fraud Charges



Terminus Energy, Inc., et al.

Tue, 14 Feb 2017 16:18:13 EST

SEC Charges Fuel Cell Company and Officers with Defrauding Investors



Yu-Cheng Lin (a.k.a. Believe Lin)

Tue, 14 Feb 2017 13:06:00 EST

SEC Obtains Asset Freeze in Insider Trading Cases Involving Contracts-For-Difference



Shaohua (Michael) Yin, et al.

Fri, 10 Feb 2017 16:28:20 EST

SEC Charges Chinese Citizens Who Reaped Massive Profits from Insider Trading on Comcast-DreamWorks Acquisition



Alan Barry Staples

Fri, 10 Feb 2017 14:43:33 EST

Australian-based Trader Settles Insider Trading Charges



Oxford City Football Club, Inc., et al.

Wed, 08 Feb 2017 11:19:01 EST

Final Judgments Entered Against Thomas Guerriero and Oxford City Football Club



Zev Saltsman, et al.

Tue, 07 Feb 2017 17:11:04 EST

SEC Obtains Final Judgment Against Edward G. Newman



Michael Affa, et al.

Tue, 07 Feb 2017 17:11:04 EST

Massachusetts Federal Court Sentences Three Defendants in SEC Microcap Manipulation Case



Mark J. Varacchi, et al.

Mon, 06 Feb 2017 14:13:09 EST

Court Orders Asset Freeze and Other Injunctive Relief In Ponzi Scheme



Thomas Miller and William Liang

Mon, 06 Feb 2017 09:03:24 EST

Company and Executives Charged with Financial Reporting Violations



Hold Brothers On-Line Investment Services, LLC, et al.

Fri, 03 Feb 2017 14:30:50 EST

Court Enters Final Judgment Against Former Broker-Dealer in SEC Proceeding Seeking Compliance with Consent Order



Mark J. Varacchi, et al.

Thu, 02 Feb 2017 17:25 EST

SEC Charges Investment Adviser For Stealing Investor Funds and Operating a Ponzi Scheme



Paul A. Garcia, et al.

Thu, 02 Feb 2017 11:56:52 EST

SEC Charges California Man in Fraudulent Real Estate Investment Scheme



Patric Ken Baccam

Wed, 01 Feb 2017 15:47:05 EST

SEC Charges Patric Ken Baccam with Fraudulent Offering and Sale of Securities



Samuel DelPresto, et al.

Wed, 01 Feb 2017 13:52:02 EST

Market Maker Settles Charges in Fraudulent Pump-and Dump Scheme



Joseph Meli et al.

Tue, 31 Jan 2017 17:24:01 EST

Court Orders Asset Freeze and Other Emergency Relief in Hamilton Ticket Resale Ponzi Scheme



Vu H. Le a/k/a Vinh H. Le and TeamVinh.com LLC

Mon, 30 Jan 2017 16:59:38 EST

SEC Obtains Final Judgment Against Minnesota Man and his Company for Defrauding Investors



Clayton A. Cohn

Mon, 30 Jan 2017 15:51:05 EST

Ex-Marine Hedge Fund Manager Sentenced to 52 Months in Prison for Scheme That Targeted Fellow Veterans



Brian S. Hudnall, et al.

Fri, 27 Jan 2017 17:03:52 EST

SEC Charges Missouri Company and Its President in Oil-And-Gas Scheme



Joseph Meli et al

Fri, 27 Jan 2017 17:05:25 EST

SEC Announces Charges In Hamilton Ticket Resale Ponzi Scheme



Christopher R. Esposito, et al.

Fri, 27 Jan 2017 17:03:52 EST

SEC Obtains Final Judgments Against Medical Marijuana Industry Company and CEO for Involvement in Fraudulent Scheme



Herman Ronnie Young, Jr. d/b/a Race Cycler

Fri, 27 Jan 2017 13:06:30 EST

SEC Announces Fraud Charges Against Operator of Online Pyramid and Ponzi Scheme



Michael L. Cohen and Vanja Baros

Thu, 26 Jan 2017 16:27:49 EST

SEC Charges Two Former Och-Ziff Executives with FCPA Violations



Strategic Capital Management, LLC et al.

Wed, 25 Jan 2017 16:34:49 EST

SEC Uncovers Cherry-Picking Scheme, Charges Investment Adviser Behind It



Mathias Francisco Sandoval Herrera, Maria D. Cidre, and Jose Antonio Miranda Gonzalez

Wed, 25 Jan 2017 11:27:40 EST

SEC Charges Former Executives of Wire and Cable Company with Financial Fraud



Dwayne Edwards, et al.

Tue, 24 Jan 2017 15:29:53 EST

SEC Announces Fraud Charges, Asset Freeze in Alleged Nursing Home Investment Scheme



George N. Krinos

Mon, 23 Jan 2017 17:20:34 EST

Ohio Man Pleads Guilty To Securities Fraud



James M. Louks et al.

Thu, 19 Jan 2017 17:53:45 EST

Court Enters Final Judgment Against Defendants in "Prime Bank" Offering Fraud



Cort Poyner et al.

Thu, 19 Jan 2017 17:53:45 EST

Stock Promoters Charged with Market Manipulation Settle SEC Action



San Francisco Regional Center, LLC, et al.

Wed, 18 Jan 2017 14:40:10 EST

SEC Charges Businessman with Misusing EB-5 Investments



Robin G. Charlet, Steven W. Sparks, Gregory J. Tuthill and Kirk D. Porter

Fri, 13 Jan 2017 15:51:46 EST

SEC Charges Four Unregistered Sales Reps Who Sold Unregistered Oil-and-Gas Offerings



Gregg R. Mulholland

Fri, 13 Jan 2017 15:51:46 EST

Court Enters Final Judgment Against Microcap Promoter Charged With Illegally Selling Penny Stock Shares



Daniel Thibeault, et al.

Thu, 12 Jan 2017 16:44:13 EST

SEC Obtains Final Judgments Against Entities Involved in Massachusetts Investment Adviser's $15 Million Fund Fraud



Gregory W. Gray, Jr., et al.

Thu, 12 Jan 2017 13:05:24 EST

Perpetrators of Ponzi-Like Scheme Settle Charges and Court Approves Plan of Distribution to Investors



Douglas Furth

Tue, 10 Jan 2017 16:02:16 EST

SEC Obtains Final Judgment Against Douglas Furth



Gregory T. Dean and Donald J. Fowler

Tue, 10 Jan 2017 12:04:28 EST

SEC Charges Two Brokers With Defrauding Customers



AJN Investments, LLC et al.

Wed, 28 Dec 2016 15:34:40 EST

Businessman Settles Charges of Fraudulent EB-5 Offering



Interinvest Corporation, Inc. et al.

Wed, 28 Dec 2016 12:48:15 EST

Federal Court Imposes $7.4 Million Judgment Against Massachusetts Investment Adviser Who Steered Money to Firms that Paid Him Consulting Fees



Emilio Francisco, et al.

Tue, 27 Dec 2016 15:41:56 EST

SEC Charges Lawyer with Stealing Investor Money in EB-5 Offerings



Iat Hong, et al.

Tue, 27 Dec 2016 12:43:17 EST

Chinese Traders Charged with Trading On Hacked Nonpublic Information Stolen from Two New York-Based Law Firms



Richard G. Cody, et al.

Thu, 22 Dec 2016 17:13:09 EST

SEC Obtains Preliminary Injunction and Asset Freeze Against Investment Adviser for Defrauding Massachusetts Retirees



Chamroonrat, et al.

Thu, 22 Dec 2016 17:13:09 EST

SEC Charges Operators of Fake Day-Trading Firm with Defrauding Inexperienced Investors



Teva Pharmaceutical Industries Limited

Thu, 22 Dec 2016 11:14:34 EST

SEC Charges Israel-Based Pharmaceutical Company with FCPA Violations



John L. Threshie, Jr.

Wed, 21 Dec 2016 15:13:06 EST

SEC Charges CEO of Connecticut-Based Company for Offering and Selling Unregistered Securities



Charles J. Dushek, et al.

Wed, 21 Dec 2016 11:39:23 EST

Illinois Advisory Firm President Indicted for Securities Fraud



Braskem, S.A.

Wed, 21 Dec 2016 11:39:23 EST

SEC Charges Brazil-Based Petrochemical Company with FCPA Violations



Platinum Management (NY) LLC et al.

Tue, 20 Dec 2016 16:59:11 EST

SEC Charges Platinum Funds and Founder with Defrauding Investors



Edward F. Panos, et al.

Tue, 20 Dec 2016 11:05:57 EST

SEC Charges Career Microcap Shell Promoter



Richard G. Cody, et al.

Tue, 13 Dec 2016 17:02:29 EST

SEC Charges Investment Adviser with Defrauding Massachusetts Retirees



Nathanial D. Ponn

Thu, 08 Dec 2016 17:48:52 EST

Massachusetts Resident Pleads Guilty to Orchestrating a Scheme to Defraud Numerous Broker-Dealers



Stifel, Nicolaus & Co., Inc., et al.

Thu, 08 Dec 2016 09:10:49 EST

Stifel, Nicolaus and Former Stifel Executive Pay Over $24.5 Million and Admit Wrongdoing in Connection with the Sale of Synthetic CDOs to Wisconsin School Districts



Levi Lindemann

Mon, 05 Dec 2016 16:41:12 EST

Levi Lindemann Sentenced to 74 Months in Prison and Ordered to Pay $1.9 million in Restitution



Rafael Antonio Calleja, Jr.

Fri, 02 Dec 2016 16:33:38 EST

SEC Charges Naples, Florida Resident with Misappropriating Investor Funds



Onix Capital LLC and Alberto Chang-Rajii, et al.

Thu, 01 Dec 2016 17:10:01 EST

SEC Charges Asset Management Fund and Manager



Harrison Katzen

Wed, 30 Nov 2016 14:25:16 EST

SEC Charges Former Employee of Florida-Based Transfer Agent for Role in Offering Fraud



Blackbird Capital Partners, LLC, et al.

Wed, 30 Nov 2016 13:00:06 EST

SEC Obtains Asset Freeze and Other Relief in $3.1 Million Offering Fraud



Matthew Carl Griffin and William Daniel Griffin

Wed, 23 Nov 2016 16:23:44 EST

SEC Charges Matthew Carl Griffin and William Daniel Griffin with Fraud



Jason Kumpf

Wed, 23 Nov 2016 14:53:17 EST

SEC Charges Former Chief Executive Officer of Microcap Issuer with Fraud



Stanley Jonathan Fortenberry (a/k/a S.J. Fortenberry, Jon Fortenberry, and Johnny Fortenberry)

Tue, 22 Nov 2016 12:34:16 EST

Texas Man Pleads Guilty to Obstructing an SEC Administrative Proceeding and Other Charges