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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: Thu, 19 Jan 2017 00:00:01 EST

Last Build Date: Thu, 19 Jan 2017 17:53:45 EST

 



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



Gavin Campion

Fri, 18 Nov 2016 16:53:10 EST

SEC Charges Former KIT Digital Inc. President with Securities Fraud



Devon Archer, et al.

Wed, 16 Nov 2016 13:52:21 EST

SEC Charges Individual Who Headed Fake Investment Manager Used In Tribal Bonds Scheme



Sanjay Valvani and Gordon Johnston

Mon, 14 Nov 2016 16:22:23 EST

SEC Announces Settlement with Former Government Official in Insider Trading Case



Herbert K. Sudfeld

Wed, 09 Nov 2016 17:23:38 EST

Judgment Entered Against Defendant in SEC Insider Trading Action



Eric McPhail and Douglas Parigian

Wed, 09 Nov 2016 16:05:36 EST

Court Enters Final Judgment Against Defendant in SEC Insider Trading Case Involving Group of Amateur Golfers



Jeffrey D. Smith d/b/a Atlanta Capital LLC a/d/b/a Capital Funding, Inc., Joseph Carswell d/b/a Atlanta Capital LLC a/d/b/a Capital Funding, Inc., and Michael W. Fullard

Tue, 08 Nov 2016 16:56:50 EST

SEC Charges Georgia and South Carolina Residents with Conducting 'Prime Bank' Style Fraud Scheme



Christopher K. Schrichte, Howard C. Hill, NewMarket Global Management I, LLC, and NewMarket Technology Fund I, LLC

Mon, 07 Nov 2016 16:07:41 EST

SEC Charges Unregistered Investment Adviser with Misappropriating Approximately $1.4 Million and Defrauding Investors



Dubovoy, et al.

Wed, 02 Nov 2016 17:11:45 EDT

Russian Traders Agree to Settle Claims Relating to Hacked News Release Scheme; SEC's Recovery to Date Exceeds $53 Million



Anthony Andrade, et al.

Wed, 02 Nov 2016 07:02:22 EDT

Court Enters Final Judgment Against Former Director of Rhode Island Bank in Insider Trading Case



Ryan Gilbertson, et al.

Tue, 01 Nov 2016 15:37:53 EDT

in the Matter of Nicholas Shermeta and Napa Properties, LLC, Administrative Proceeding File No. 3-17652



Marc D. Broidy and Broidy Wealth Advisors, LLC

Thu, 27 Oct 2016 14:17:19 EDT

SEC Charges Investment Adviser with Defrauding Advisory Clients in Three Separate Schemes



TelexFree, Inc. et al.; Carlos Nataniel Wanzeler and James Matthew Merrill

Tue, 25 Oct 2016 16:38:00 EDT

Telexfree President Pleads Guilty to Operating Pyramid Scheme in Related Criminal Action



Southlake Resources Group, LLC, et al.

Tue, 25 Oct 2016 13:15:49 EDT

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



Embraer S.A.

Mon, 24 Oct 2016 12:17:15 EDT

SEC Charges Brazil-Based Aircraft Manufacturer with FCPA Violations



James C. Cope, Esq.

Fri, 21 Oct 2016 17:55 EDT

SEC Charges Board Member with Insider Trading During and After Board Meeting



Christopher Salis, et al.

Fri, 21 Oct 2016 16:04:19 EDT

Software Executive and Two Friends Indicted for Conspiracy to Commit Insider Trading and Money Laundering



Lime Energy Co. et al.

Mon, 17 Oct 2016 17:55 EDT

SEC Charges Energy Services Company and Executives with Accounting Fraud



James T. Bramlette and The Pelorus Group, LLC

Fri, 07 Oct 2016 12:47:33 EDT

SEC Seeks Court Order Requiring the Pelorus Group and Its Owner to Produce Documents



Richard Weed et al.

Tue, 04 Oct 2016 13:13:42 EDT

SEC Obtains Final Judgments Against Two in Scheme to Manipulate Stock of Massachusetts-based Sports Ticket Broker



Ikenna Ikokwu, et al.

Fri, 30 Sep 2016 17:21:20 EDT

SEC Charges Investment Adviser and His Firms with Recommending Tax Lien Investment Scheme to Clients



Paul R. Downey, et al.

Fri, 30 Sep 2016 17:21:20 EDT

Court Imposes Officer-And-Director Bars, Civil Penalties, Disgorgement, and Injunctions Against Promoters of Oil-And-Gas Scheme



Louis T. Buonocore, Jeremy R. Draper, Frank J. Morelli, III, Berardino "Dino" Paolucci, Jr. and Don L. Rose

Fri, 30 Sep 2016 16:06:09 EDT

SEC Charges Five Individuals for a Multi-Faceted Penny Stock Scheme



Vladimir Eydelman and Steven Metro

Fri, 30 Sep 2016 13:00:56 EDT

Stockbroker in Post-It Note Insider Trading Case Sentenced to 36 Months in Prison



Marcus A. Luna, et al.

Fri, 30 Sep 2016 13:00:56 EDT

SEC Charges Alleged Penny Stock Manipulators



Infinex Ventures, Inc., and Ronald H. Salem

Fri, 30 Sep 2016 12:32:37 EDT

SEC Announces Fraud Charges Against Colorado Company Focused On the Marijuana Industry



Jason W. Galanis, et al.

Fri, 30 Sep 2016 12:32:37 EDT

Former Gerova CEO and President Convicted of Securities Fraud and Other Charges



Aegis Oil, LLC and Patrick Reagan Beason

Fri, 30 Sep 2016 12:32:37 EDT

On September 29, 2016, the Securities and Exchange Commission Charged Aegis Oil, LLC and Its President and CEO Patrick Reagan Beason with Defrauding Investors in Oil and Gas Projects Managed by Aegis.



Robert Gadimian

Thu, 29 Sep 2016 17:31:38 EDT

Biotech Employee Charged with Insider Trading Ahead of Company's Announcements About Breast Cancer Drug



Nicholas S. Savva

Thu, 29 Sep 2016 17:10:05 EDT

SEC Files Fraud Charges Against Brooklyn-Based Investment Adviser



Nino Coppero del Valle et al.

Thu, 29 Sep 2016 12:02:53 EDT

SEC Files Insider Trading Charges Against Peruvian Traders Using Overseas Accounts



Peter R. Kohli, DMS Advisors, Inc., Marshad Capital Group, Inc., and The DMS Funds

Wed, 28 Sep 2016 16:40:37 EDT

SEC Charges Former Stockbroker with Fraud in Running Mutual Fund Business



Craig V. Sizer, and Miguel Mesa

Wed, 28 Sep 2016 16:40:49 EDT

SEC Charges CEO and Boiler Room Operator with Fraud



Keith Hunter

Tue, 27 Sep 2016 17:33:49 EDT

SEC Charges Former Australian Bank Executive In $98 Million Scheme To Defraud U.S. Issuer



Jason A. Wallace

Tue, 27 Sep 2016 16:59:17 EDT

SEC Charges Former Boiler Room Operator Jason A. Wallace with Participating in a Fraudulent Pump-And-Dump Scheme



Mard, Inc. f/k/a KiOR, Inc, et al.

Tue, 27 Sep 2016 15:44:23 EDT

SEC Charges Alternative Fuels Company and Former Executive for Key Omissions Regarding Technology



Daniel Thibeault, et al.

Tue, 27 Sep 2016 06:32:50 EDT

SEC Obtains Final Judgment Against Daniel Thibeault, Massachusetts Investment Adviser Who Orchestrated $15M Fund Fraud



North Star Finance LLC, et al.

Fri, 23 Sep 2016 16:02:48 EDT

Perpetrators of Advance Fee Loan Scam Targeting Home Building Industry Agree to Settle SEC Charges



Colin Whelehan and Sheren Tsai

Thu, 22 Sep 2016 17:23:49 EDT

The Securities and Exchange Commission today announced charges against two New York City residents for insider trading in advance of the acquisition of a home security company based on confidential information tipped to the trader by her live-in boyfriend.



James R. Trolice, et al.

Thu, 22 Sep 2016 15:53:35 EDT

SEC Obtains Judgment Against Lee P. Vaccaro



Frank Tamayo

Wed, 21 Sep 2016 16:30:36 EDT

Middleman in Post-It Note Insider Trading Case Sentenced to a Year and a Day in Prison



Saleem Khan et al.

Wed, 21 Sep 2016 16:30:36 EDT

The Securities and Exchange Commission announced today that the Honorable Haywood S. Gilliam of the U.S. District Court for the Northern District of California entered a final judgment against defendants Saleem Khan and Roshanlal Chaganlal



Mark A. Jones

Tue, 20 Sep 2016 13:30:36 EDT

Operator of Ponzi Scheme That Claimed to Offer "Bridge Loans" to Jamaican Businesses Pleads Guilty



Tropikgadget FZE, et al.

Mon, 19 Sep 2016 17:36:08 EDT

SEC Obtains Final Judgments Against Promoters of Pyramid Scheme Targeting Latino Communities



Steven Metro

Thu, 15 Sep 2016 06:23:08 EDT

Source in Post-It Note Insider Trading Case Sentenced to 46 months in Prison



Thomas J. Connerton, et al.

Mon, 12 Sep 2016 16:22:12 EDT

SEC Obtains Preliminary Injunction Against Connecticut-Based Individual and His Company for Scheme to Defraud Investors in Unregistered Securities Offering



Tycoon Energy, Inc., et al.

Mon, 12 Sep 2016 15:10:00 EDT

SEC Charges Texas Companies with Running a $5.6 Million Oil and Gas Scheme



Charles A. Banks, IV

Mon, 12 Sep 2016 14:01:21 EDT

Investment Adviser Charged With Defrauding Former Pro Basketball Player



North Hills Management, LLC, and Mark Evan Bloom

Mon, 12 Sep 2016 12:12:19 EDT

Court Enters Final Judgment against "Fund of Funds" Adviser and Its Principal



Marrien Neilson

Mon, 12 Sep 2016 12:12:19 EDT

BOK Financial, Senior Executive Charged With Turning Blind Eye To Investment Scheme



RPM International Inc., et al.

Fri, 09 Sep 2016 14:04:24 EDT

SEC Charges RPM International Inc. and its General Counsel for Disclosure and Accounting Failures



Gordon W. Jenkins, Theodore P. Sweeten, Francis W. Kreais and Craig L. Parkinson

Wed, 07 Sep 2016 16:34:23 EDT

SEC Charges Four in Offering Fraud Related to Purported Mining Company



Dennis W. Hamilton

Wed, 07 Sep 2016 15:56:10 EDT

Alleged Insider Trading Executive Sentenced in Parallel Criminal Matter



Contrarian Press, LLC, Scott S. Fraser, and Nathan Yeung

Tue, 06 Sep 2016 17:06:21 EDT

SEC Charges CEO and Paid Promoter with Fraudulently Promoting Stock of Las Vegas Health Products Company



Providence Financial Investments, Inc., Providence Fixed Income Fund, LLC, Jeffory Churchfield, Jack Jarrell, and Anthony Buzaneli

Thu, 01 Sep 2016 15:55:59 EDT

SEC Obtains Emergency Order Prohibiting Anthony Buzaneli from Leaving the United States



Jilbert Tahmazian, Esq.

Thu, 01 Sep 2016 15:55:59 EDT

California Attorney Settles SEC Charges That He Participated in Prime Bank Fraud Scheme



Donald V. Watkins Sr., Esq., Watkins Pencor, LLC and Masada Resource Group, LLC

Thu, 01 Sep 2016 15:07:31 EDT

SEC Charges Alabama Attorney and His Companies in Purported Waste-To-Energy Ventures



Tropikgadget FZE, et al.

Thu, 01 Sep 2016 11:59:38 EDT

SEC Obtains Final Judgments Against Company Officers and Promoters of Pyramid Scheme Targeting Latino Communities



Dennis Wayne Hamilton

Tue, 30 Aug 2016 16:01:48 EDT

SEC Files Amended Complaint Adding Additional Instances of Insider Trading by Executive



Daniel H. Mudd

Tue, 30 Aug 2016 12:37:27 EDT

Former Fannie Mae Executive Resolves Subprime and Reduced Documentation Disclosure Case with SEC



Enviro Board Corporation, et al.

Fri, 26 Aug 2016 17:32:49 EDT

SEC Charges Purported Green Technology Company with Defrauding Investors



Edward F. Panos, et al.

Thu, 25 Aug 2016 17:36:52 EDT

SEC Seeks Court Order to Compel Edward Panos to Produce Documents and Testify in Investigation of E-Waste Systems



Secured Income Reserve, Inc. et al.

Wed, 24 Aug 2016 17:20 EDT

SEC Charges Secured Income Reserve, Inc. and Former Officers with Fraud



Cedric Cañas Maillard

Wed, 24 Aug 2016 17:03:15 EDT

Former Banco Santander Official Ordered to Pay More Than $1.1 Million for Insider Trading in Potash Call Options



Richard Weed et al.

Tue, 23 Aug 2016 13:34:29 EDT

Three Sentenced in Scheme to Manipulate Stock of Massachusetts-Based Sports Ticket Broker



John M. Ragsdale

Mon, 22 Aug 2016 17:22:02 EDT

SEC Charges South Carolina Resident with Aiding and Abetting Penny Stock Fraud



Michael Andre Jones

Mon, 22 Aug 2016 10:50:00 EDT

SEC Charges Michael Andre Jones with Fraudulent Offering and Sales of Unregistered Securities



J. Patrick O'Neill and Robert H. Bray

Thu, 18 Aug 2016 17:00:18 EDT

Court Enters Final Judgment Against Boston-Area Defendant in Insider Trading Case



Sean Stewart

Thu, 18 Aug 2016 10:23:49 EDT

Defendant in SEC Insider Trading Action Found Guilty by Federal Jury in a Related Criminal Case