SEC Enforcement Casebook (2016–2020)
Across 2016–2020, enforcement actions centered on insider trading, offering frauds (including Ponzi‑like schemes), microcap promotion/manipulation, disclosure and internal‑controls failures, gatekeeper lapses, and emerging digital‑asset matters. Remedies frequently included disgorgement, penalties, injunctions, and penny‑stock or officer/director bars.
2016
[Fraud & Misrepresentation] Executives Of Aequitas Management Llc Charged With Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Charged For Violating Antifraud Provisions Of The Federal Securities Laws
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Aegis Oil Patrick Beason Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Accounting, Disclosure & Controls] Alternative Fuel Company Mard Inc Charged Failure Full Disclosure
Reporting misstatements or internal‑controls gaps (including metrics/KPI issues). Calls for robust disclosure governance and audit substantiation.
[Fraud & Misrepresentation] Attorney Jilbert Tahmazian Charged With Fraud In A Prime Bank Scheme
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Microcap Promotion & Manipulation] Buonocore Penny Stock Scheme
Undisclosed paid touting, scalping, or wash/matched trading activity in microcaps. Requires 17(b) disclosures, promoter diligence, and market‑abuse surveillance.
[Insider Trading & MNPI] Cardiologist Dr Edward Kosinski Charged With Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Insider Trading & MNPI] Cedric Canas Charged With Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Fraud & Misrepresentation] Ceo Of Rvplus Charged With Soliciting Fake Contracts With Foreign Governments
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Judgments, Bars & Remedies] Ceo Of Tierone Bank Sentenced To Years In Prison
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Fraud & Misrepresentation] Charles Banks Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Insider Trading & MNPI] Christopher Salis Miller Charged Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Judgments, Bars & Remedies] Court Denies Motion To Reconsider Summary Judgment Against June Fujinaga
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Judgments, Bars & Remedies] Court Enters Final Judgment Against Eadgear And Its Operators
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Judgments, Bars & Remedies] Court Enters Final Judgment Against Francis Canellas
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Judgments, Bars & Remedies] Court Enters Final Judgment Against Fraudster Bruce Strebinger
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Insider Trading & MNPI] Court Enters Final Judgment Against Insider Trading Defendant Yue Han
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Judgments, Bars & Remedies] Court Enters Final Judgment Against Martin Weisberg
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Judgments, Bars & Remedies] Court Enters Final Judgment Against Moazzam Mark Malik And Wolf Hedge Llc
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Judgments, Bars & Remedies] Court Enters Final Judgment Against Two Defendants In Fraud Case
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Judgments, Bars & Remedies] Court Enters Final Judgment Daniel Thibeault Million Fraud
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Insider Trading & MNPI] Court Enters Final Judgment In Insider Trading Action
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Insider Trading & MNPI] Court Enters Final Partial Judgment Against Paul Petrello For Insider Trading Scheme
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Microcap Promotion & Manipulation] Court Enters Judgments Against Five Fraudsters In Amogear Stock Scheme
Undisclosed paid touting, scalping, or wash/matched trading activity in microcaps. Requires 17(b) disclosures, promoter diligence, and market‑abuse surveillance.
[Judgments, Bars & Remedies] Court Enters Nearly Million Judgment From Gregory Jones For Defrauding Investors
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Fraud & Misrepresentation] Court Finds Jeffry Paul Downey John Leonard Guilty Oil And Gas Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Other / Context] Court Holds James Louks And Fiberpop Solutions In Civil Contempt
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Court Issues Asset Freeze Over Sedona Oil And Its President
Contextual enforcement/policy development relevant to compliance expectations.
[Judgments, Bars & Remedies] Court Issues Final Judgments Against Scott Valente And The Eliv Group
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Insider Trading & MNPI] Court Reaches Verdict Against Daryl Payton And Benjamin Durant For Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Offering Fraud / Ponzi] Daniel And Matthew Rivera Charged For Running A Ponzi Scheme Directed At Seniors
Investor solicitations with misused proceeds or Ponzi‑like mechanics. Highlights escrow, use‑of‑proceeds audits, and third‑party verification.
[Microcap Promotion & Manipulation] David Aubel And Robert Raffa Charged With Stock Manipulation Scheme
Undisclosed paid touting, scalping, or wash/matched trading activity in microcaps. Requires 17(b) disclosures, promoter diligence, and market‑abuse surveillance.
[Fraud & Misrepresentation] Father And Son Thomas And Stuart Conrad Charged With Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Judgments, Bars & Remedies] Final Judgment Downey Oil Gas Fraud
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Insider Trading & MNPI] Final Judgment Entered Against Nan Huang For Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Judgments, Bars & Remedies] Final Judgment Jilbert Tahmazian Antifraud Action
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Judgments, Bars & Remedies] Final Judgment Saleem Khan Roshanlal Chaganlal
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Judgments, Bars & Remedies] Final Judgment Wings Network
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Insider Trading & MNPI] Former Microsoft Manager Charged With Insider Trading Ahead Of Acquisition Of Nokia
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Fraud & Misrepresentation] Four Charged In Arco Hills Silica Scheme
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Francisco Martin Fraud Native American Bonds
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Frank Lleras Charged With Conducting A Fraudulent Investment Scheme
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Gerova Financial Gary Hirst Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Digital Assets] Global Digital Solutions And Ceo Charged With Fraud
Unregistered token/ICO offerings or paid‑touting violations; underscores Howey analysis and custody/disclosure controls.
[Fraud & Misrepresentation] Global Transition Charged With Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Insider Trading & MNPI] Gordon Johnston Insider Trading Settlement
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Insider Trading & MNPI] Herbert Sudfeld Sentenced To Months For Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Fraud & Misrepresentation] Infinex Ventures Ronald Salem Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Insider Trading & MNPI] Insider Trading Defendant Herbert Sudfeld Found Guilty In A Related Case
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Fraud & Misrepresentation] It Executive Computer Sciences Corporation Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Offering Fraud / Ponzi] Jnl Oilfield Instruments And Founder Jeffery Mccollum Charged With Operating A Ponzi Scheme
Investor solicitations with misused proceeds or Ponzi‑like mechanics. Highlights escrow, use‑of‑proceeds audits, and third‑party verification.
[Judgments, Bars & Remedies] Judgments Entered Against Tyson Williams And Stanley Parrish
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Judgments, Bars & Remedies] Lee Vaccaro Final Judgment
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Fraud & Misrepresentation] Leonid Momotok Pleads Guilty To Conspiracy To Commit Wire Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Accounting, Disclosure & Controls] Lime Energy Co Charged Accounting Fraud
Reporting misstatements or internal‑controls gaps (including metrics/KPI issues). Calls for robust disclosure governance and audit substantiation.
[Fraud & Misrepresentation] Luca Entities Investment Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Manuel Jesus Wealthpire Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Marc Broidy Investment Scheme
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Mark Bloom North Hills Management Fraud Charges
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Matthew William Griffin Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Merrill Robertson Jr With Running A Million Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Judgments, Bars & Remedies] Michael Affa Sentenced In Microcap Case
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Judgments, Bars & Remedies] Navistar International Reaches Settlement Agreement With Sec
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Fraud & Misrepresentation] Nedko Nedev Charged For Fraudulent Scheme And Arrested
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Owners Of North Star Finance Llc Charged With Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Offering Fraud / Ponzi] Patrick Churchville Guilty Running Million Ponzi
Investor solicitations with misused proceeds or Ponzi‑like mechanics. Highlights escrow, use‑of‑proceeds audits, and third‑party verification.
[Insider Trading & MNPI] Patrick Oneill Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Insider Trading & MNPI] Paul Rampoldi Charged With Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Fraud & Misrepresentation] Penny Stock Issuers And Their Principals Charged With Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Peter Kohli Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Insider Trading & MNPI] Pinnacle Financial Partners James Cope Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Judgments, Bars & Remedies] Posted Brenda Hamilton Sandy Winick Sentenced
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Offering Fraud / Ponzi] Pyramid Schemer Sanderly Rodrigues Incarcerated For Violation Of Court Order
Investor solicitations with misused proceeds or Ponzi‑like mechanics. Highlights escrow, use‑of‑proceeds audits, and third‑party verification.
[Microcap Promotion & Manipulation] Randy Hamdan Consents To Settling Market Manipulation Case
Undisclosed paid touting, scalping, or wash/matched trading activity in microcaps. Requires 17(b) disclosures, promoter diligence, and market‑abuse surveillance.
[Insider Trading & MNPI] Robert Bray Found Guilty Of Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Insider Trading & MNPI] Robert Gadimian Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Fraud & Misrepresentation] Rosalind Herman Convicted Of Defrauding Investors Of Over Million
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Judgments, Bars & Remedies] Rosalind Herman Sentenced To Years Ordered To Pay Nearly Million In Restitution
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Accounting, Disclosure & Controls] Rpm Charged With Disclosure Failure
Reporting misstatements or internal‑controls gaps (including metrics/KPI issues). Calls for robust disclosure governance and audit substantiation.
[Other / Context] Sameer And Praveen Sethi Contempt Of Court
Contextual enforcement/policy development relevant to compliance expectations.
[Insider Trading & MNPI] Sean Stewart Found Guilty Of Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Fraud & Misrepresentation] Sec Charges More Defendants In Hacked News Release Scheme With Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Andrew Caspersen With Defrauding Two Institutions
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Edwin Ruh Jr And His Firm With A Fraudulent Securities Offering
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Enviro Board And Two Executives With Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Former Head Of Gtm Khaled Bassily With Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Insider Trading & MNPI] Sec Charges Jay Fung With Insider Trading In The Stock Of Pharmasset Inc
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Fraud & Misrepresentation] Sec Charges Jeffrey Wilson Former Ceo Of Imperial Petroleum With Securities Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges John Bivona And Saddle River Advisors With Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges John Scott Clark With Securities Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Offering Fraud / Ponzi] Sec Charges Mark Jones For A Ponzi Scheme Purporting To Offer Bridge Loans To Jamaican Businesses
Investor solicitations with misused proceeds or Ponzi‑like mechanics. Highlights escrow, use‑of‑proceeds audits, and third‑party verification.
[Offering Fraud / Ponzi] Sec Charges Marquis Properties And Its Principals With Operating A Ponzi Scheme
Investor solicitations with misused proceeds or Ponzi‑like mechanics. Highlights escrow, use‑of‑proceeds audits, and third‑party verification.
[Fraud & Misrepresentation] Sec Charges Robert Crowe For Joining In Pay To Play Scheme
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Texstar Oil And Nathan Halsey With Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Vinh Le Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Judgments, Bars & Remedies] Sec Enters Settlement Agreement With Concorde Bermuda Ltd
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Judgments, Bars & Remedies] Sec Enters Settlement With Perpetrators Of An Alleged Hacked News Release Scheme
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Fraud & Misrepresentation] Sec Files Complaint Against Executive Of Harman International Industries
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Insider Trading & MNPI] Sec Wins Insider Trading Case Against Capital One Employee
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Fraud & Misrepresentation] Secured Income Reserve And Former Officers Charged With Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Servergy Inc And William Mapp Charged For Purporting False Information About Product
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Southlake Resources Group Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Stanley Fortenberry Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Judgments, Bars & Remedies] Stanley Kowalewski Sentenced To Years Imprisonment For Wire Fraud
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Insider Trading & MNPI] Steven Metro Months In Prison For Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Offering Fraud / Ponzi] Telexfree James Merrill Pyramid Scheme
Investor solicitations with misused proceeds or Ponzi‑like mechanics. Highlights escrow, use‑of‑proceeds audits, and third‑party verification.
[Fraud & Misrepresentation] Thomas And Stuart Conrad Charged With Securities Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Three Fraudsters On Shopping Spree Met With Asset Freeze
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Insider Trading & MNPI] Tsai Whelehan Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Judgments, Bars & Remedies] Tv New Commentator Agrees To Settle Secs Charges
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Fraud & Misrepresentation] Tycoon Energy Million Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Uni Pixel Inc Charged With Misleading Investors About New Touchscreen Sensor Product
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Judgments, Bars & Remedies] Vineet Kalucha Sentenced To Federal Prison For Obstructing Investigation
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Insider Trading & MNPI] Wade James Lawrence Charged With Securities Fraud And Unauthorized Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Fraud & Misrepresentation] Warrior Girl Corp Jason Kumpf Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Wells Fargo And Rhode Island Agency Charged With Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] William Allen Susan Daub Plead Guilty Wire Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Judgments, Bars & Remedies] Wings Network Final Judgment
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Other / Context] Blackbird Capital Partner
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] California Businessman Daniel Nase Stole Investor Funds And Tried To Conceal It
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Charles Scoville Traffic Monsoon
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Court Enters Injunction Against Safety Technologies Llc And Owner
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Court Sentences Michael Donnelly To Months Imprisonment And Million In Restitution
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Jeffrey Wilson The Former Ceo Of Imperial Petroleum Found Guilty
Contextual enforcement/policy development relevant to compliance expectations.
[Fraud & Misrepresentation] Joseph Apuzzo Sec Bar Terex Corporation
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Other / Context] Marcus Luna Penny Stock Scam
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Pot Stock
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Rule Not Just State Investors Anymore
Contextual enforcement/policy development relevant to compliance expectations.
[Gatekeeper / BD / IA] Sec Auditor Timothy Quintanilla
Gatekeeper failures (auditors, broker‑dealers, advisers) including AML, custody, supervision, or independence issues.
[Fraud & Misrepresentation] Sec Charges Daniel Thibeault With Misappropriating Millions In Investor Funds
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Manu Kumaran
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Stratocomm Corporation With Illicit Sale Of Securities
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Emergency Order Anthony Buzaneli
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Michael Cain
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Oxford City Football Club
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Steven Davis
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] The Sec Forcefield Energy
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Other / Context] Finra Amends Regulation Nms
Contextual enforcement/policy development relevant to compliance expectations.
[Gatekeeper / BD / IA] Sec Charges Nathanial Ponn With Defrauding Several Brokerage Firms
Gatekeeper failures (auditors, broker‑dealers, advisers) including AML, custody, supervision, or independence issues.
2017
[Fraud & Misrepresentation] Sec Charges Lek Securities Posted Brenda Hamilton
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Nasaa Sec Sign Crowdfunding Agreement
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Adopts Jobs Act Amendments
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Issues Rule Intrastate Crowdfunding Guidance Brenda Hamilton
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Judgments, Bars & Remedies] Adesh Tyagi Receives Final Judgement
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Insider Trading & MNPI] Ariad Employees Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Judgments, Bars & Remedies] Beaumont Financing Authority Settles Charges
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Fraud & Misrepresentation] Brian Scarpellini Named Respondent In Check Kiting Scheme
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Other / Context] Can Cal Skystar Temporarily Suspended
Contextual enforcement/policy development relevant to compliance expectations.
[Insider Trading & MNPI] Celator Employees Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Insider Trading & MNPI] Centers Medicare Medicaid Services Employees Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Fraud & Misrepresentation] Charles Banks Charged Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Cheryl Jones Charged Sec
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Insider Trading & MNPI] Daniel Rivas Insider Trading Scheme
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Fraud & Misrepresentation] David Fuselier Fraudulent Scheme
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Judgments, Bars & Remedies] Deerfield Settle Charges
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Judgments, Bars & Remedies] Desarrolladora Homex Settle Fraud
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Judgments, Bars & Remedies] Final Judgement Andrew Farmer
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Judgments, Bars & Remedies] Final Judgement Gaw Miners Zenminer
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Judgments, Bars & Remedies] Final Judgement Stephen Ferrone
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Judgments, Bars & Remedies] Final Judgment Entered Gregg Mulholland Posted Brenda Hamilton
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Judgments, Bars & Remedies] Final Judgment Entered Prime Bank Fraud Brenda Hamilton
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Fraud & Misrepresentation] Flowers And Nevett Charged Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Fraud Charges Victory Ho
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Insider Trading & MNPI] Ibex Trading Temporarily Suspended
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Fraud & Misrepresentation] Jared Galanis Pleads Guilty Sec Suspend
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Judgments, Bars & Remedies] Jay Hatton Submits Offer Of Settlement
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Fraud & Misrepresentation] Jeremy Drake Charged Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Joey Dodson Charged Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Insider Trading & MNPI] Judgement Yu Cheng Lin Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Gatekeeper / BD / IA] Kpmg Charged Audit Failures
Gatekeeper failures (auditors, broker‑dealers, advisers) including AML, custody, supervision, or independence issues.
[Fraud & Misrepresentation] Larry Holley Charged Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Judgments, Bars & Remedies] Lawson Financial Settles Fraud Charges
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Fraud & Misrepresentation] Leon Vaccarelli Charged Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Lottonet Accused Boiler Room Scheme
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Judgments, Bars & Remedies] Magnachip Cfo Settle Fraud Charges
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Judgments, Bars & Remedies] Marc Broidy Receive Final Judgement
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Fraud & Misrepresentation] Medbox Charged Sec
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Insider Trading & MNPI] Michael Trahan Charged Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Judgments, Bars & Remedies] Miles Nadal Settles Million Sec Case
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Judgments, Bars & Remedies] Morgan Stanley Settles Charges Related Etf Investments
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Insider Trading & MNPI] Nima Hedayati Charged Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Accounting, Disclosure & Controls] Osiris Therapeutics Charged Accounting Fraud
Reporting misstatements or internal‑controls gaps (including metrics/KPI issues). Calls for robust disclosure governance and audit substantiation.
[Fraud & Misrepresentation] Pazoo Used Inflation Scheme
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Insider Trading & MNPI] Peter Chang Charged Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Judgments, Bars & Remedies] Purported Real Estate Investment Manager Settles Fraud Charges
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Judgments, Bars & Remedies] Randall James Settles Fraud Charges
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Fraud & Misrepresentation] Renwick Haddow Charged Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Richard Cody Indicted Fraud Lying
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Judgments, Bars & Remedies] Robert Stewart Receives Final Judgement
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Fraud & Misrepresentation] Scott Newsholme Charged Stealing Funds
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Acquires Asset Freeze 4d Circle
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Judgments, Bars & Remedies] Sec Adopts T2 Trade Settlement Rule
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Fraud & Misrepresentation] Sec Announces Fraud Charges Diana Lovera
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Accounting, Disclosure & Controls] Sec Charged Penn West Accounting Fraud
Reporting misstatements or internal‑controls gaps (including metrics/KPI issues). Calls for robust disclosure governance and audit substantiation.
[Insider Trading & MNPI] Sec Charges Avaneesh Krishnamoorthy Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Fraud & Misrepresentation] Sec Charges Brothers For Hydrocarb Fraud Scheme
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Cannavest Corp Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges David Humphrey Securities Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Demitrios Hallas Defrauding
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Ipayment Executives Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Jerry Miller Petrotech Oil Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges K T Wells Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Kevin Amell With Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Microcap Promotion & Manipulation] Sec Charges Lawyers Mustafa Sayid Norman Reynolds Paralegal Kevin Jasper Stock Manipulation Scheme
Undisclosed paid touting, scalping, or wash/matched trading activity in microcaps. Requires 17(b) disclosures, promoter diligence, and market‑abuse surveillance.
[Fraud & Misrepresentation] Sec Charges Lucita Zamoras Operating Fraudulent Promissory Note Scheme
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Matthew Fox Securities Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Matthew Krimm Defrauding
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Michael Shumway Securities Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Microcap Promotion & Manipulation] Sec Charges Ryan Gilbertson Million Stock Manipulation Scheme Wire Fraud
Undisclosed paid touting, scalping, or wash/matched trading activity in microcaps. Requires 17(b) disclosures, promoter diligence, and market‑abuse surveillance.
[Insider Trading & MNPI] Sec Charges Traders Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Microcap Promotion & Manipulation] Sec Files For Alleged Stock Promotion Schemes To Individuals Entities
Undisclosed paid touting, scalping, or wash/matched trading activity in microcaps. Requires 17(b) disclosures, promoter diligence, and market‑abuse surveillance.
[Judgments, Bars & Remedies] Sec Final Judgement Ryan Petersen
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Fraud & Misrepresentation] Sec Fraud Charges Robert Murray
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Obtains Injunction Asset Freeze Daniel Glick
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Suspends Mark Mckinnies
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Seyed Taher Kameli Defrauding Investors
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Judgments, Bars & Remedies] Steven Labriola Receives Final Judgement
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Fraud & Misrepresentation] Terminus Energy Charged With Securities Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Judgments, Bars & Remedies] Thomas Buck Settles Charges
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Fraud & Misrepresentation] Thrift Savings Plan Used Fraud Case
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Insider Trading & MNPI] Traders Charged Trading Hacked Lawyers Posted Brenda Hamilton
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Judgments, Bars & Remedies] Verto Capital Settles Charges
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Insider Trading & MNPI] Walter Little Neighbor Charged Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Other / Context] https://www.securitieslawyer101.com/2017/36142/
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] https://www.securitieslawyer101.com/2017/36301/
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] https://www.securitieslawyer101.com/2017/36308/
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] https://www.securitieslawyer101.com/2017/36326/
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] https://www.securitieslawyer101.com/2017/36353/
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Aegerion Pharmaceuticals Lied Sales
Contextual enforcement/policy development relevant to compliance expectations.
[Judgments, Bars & Remedies] Alanah Ascenergy And Gabaldon Judgement
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Other / Context] Alpine Securities Anti Money Laundering
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Antonio Katz Pleads Guilty
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Axesstel Fail Comply Exchange Act
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Banca Imi Securities Pay Million
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Calissio Resources Cor Clearing
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Charges John Thomas Financial
Contextual enforcement/policy development relevant to compliance expectations.
[Judgments, Bars & Remedies] Dimaria And Gamsey Judgements
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Insider Trading & MNPI] Fei Yan Faces Insider Trader Charges
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Gatekeeper / BD / IA] Financial Adviser Funds Lavish Lifestyle Stealing Client Accounts
Gatekeeper failures (auditors, broker‑dealers, advisers) including AML, custody, supervision, or independence issues.
[Other / Context] General Cable Corporation
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] J W Korth Company
Contextual enforcement/policy development relevant to compliance expectations.
[Judgments, Bars & Remedies] Judgement Entered Edwards
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Judgments, Bars & Remedies] Judgement Entered James Trolice
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Judgments, Bars & Remedies] Judgement Intermune Director Friend
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Judgments, Bars & Remedies] Judgement Obtained Louis Martin Blazer Iii
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Judgments, Bars & Remedies] Judgements Locateplus Holdings Officers
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Other / Context] Legend Securities Named Respondent For Various Claims
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Lek Securities Motion Dismiss Denied
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Louis Navellier False Performance Claims
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Magyar Telekom Executives Agree To Pay Penalties
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Mayank Gupta
Contextual enforcement/policy development relevant to compliance expectations.
[Fraud & Misrepresentation] Sec Additional Charges Anthony Portelli
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Announces Agenda Panelists 36th Annual Small Business Forum
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Bars David Lubin
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Judgments, Bars & Remedies] Sec Case Against Lionshare Faud Enters Final Default Judgement
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Fraud & Misrepresentation] Sec Charges Arista Ceo Attorney
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Attorney Marc Celello
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Halliburton Company
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Gatekeeper / BD / IA] Sec Charges Investment Adviser Stealing Investor Funds
Gatekeeper failures (auditors, broker‑dealers, advisers) including AML, custody, supervision, or independence issues.
[Fraud & Misrepresentation] Sec Charges Justin Meadlin Hyaline Capital Management
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Quadrant System Corp
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Eases Access Exhibits Sec Filings
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Names Paul G Cellupica Deputy Director
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Gatekeeper / BD / IA] Sec Staff Issues Guidance Update Investor Bulletin Robo Advisers
Gatekeeper failures (auditors, broker‑dealers, advisers) including AML, custody, supervision, or independence issues.
[Fraud & Misrepresentation] Sec Uses Satellite Images To Nail Home
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Other / Context] Woodbridge Ordered Produce Documents
Contextual enforcement/policy development relevant to compliance expectations.
[Judgments, Bars & Remedies] Alejandro Falla Barred Association Finra Members
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Other / Context] Austin Morton Named Respondent In Finra Complaint
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Finra Expels Fox Financial Firm
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Finra Fines Albert Fried Company
Contextual enforcement/policy development relevant to compliance expectations.
[Judgments, Bars & Remedies] John Bocchino Barred Finra
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Insider Trading & MNPI] Lightspeed Trading Named Respondent In Finra Complaint
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Other / Context] Robert Stewart Fined Suspended By Finra
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Rosemary Mcginley Suspended From Association With Finra
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Transfer Agent Direct Registration System Drs
Contextual enforcement/policy development relevant to compliance expectations.
2018
[Fraud & Misrepresentation] Sec Chairman Clayton Announces Additional Investor Roundtable In Baltimore For Main Street Investors To Tell Us About Their Investor Experience
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Ameriprise Financial Services For Failing To Safeguard Client Assets
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Accounting, Disclosure & Controls] Press Release Sec Charges Moodys With Internal Controls Failures And Ratings Symbols Deficiencies
Reporting misstatements or internal‑controls gaps (including metrics/KPI issues). Calls for robust disclosure governance and audit substantiation.
[Fraud & Misrepresentation] Capital Cove Bancorp Llc Christopher Lee Aka Rashid Khalfani Charged Defrauding Investors Pay Million
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Chardan Capital Charged By Sec
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Insider Trading & MNPI] Christopher Lollar Settles Charges Insider Trading Ahead Oil Discovery Announcement
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Fraud & Misrepresentation] Constellation Healthcare Technologies Executives Charged With Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Judgments, Bars & Remedies] Court Grants Summary Judgment Motion Iftikar Ahmed
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Gatekeeper / BD / IA] Foreign Affiliates Kpmg Deloitte Bdo Charged Improper Audits
Gatekeeper failures (auditors, broker‑dealers, advisers) including AML, custody, supervision, or independence issues.
[Judgments, Bars & Remedies] Former Ceo And Cfo Of Itt Barred And Ordered To Pay Penalties
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Insider Trading & MNPI] Former Equifax Executive Charged Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[FCPA / Books & Records] Legg Mason Charged With Violating The Fcpa
Books‑and‑records and internal‑controls concerns, often tied to third‑party risks and international operations.
[Judgments, Bars & Remedies] Merrill Lynch Settles Sec Charges Of Undisclosed Conflict In Advisory Decision
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Fraud & Misrepresentation] Mohammed Rashid Charged Secretly Billing Clients Vacations Salon Visits
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[FCPA / Books & Records] Sanofi Charged With Fcpa Violations
Books‑and‑records and internal‑controls concerns, often tied to third‑party risks and international operations.
[Fraud & Misrepresentation] Sec Bars Perpetrator Of Initial Coin Offering Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Amrit Chahal Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Andrew Kandelapas Penny Stock Fraud Scheme
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Gatekeeper / BD / IA] Sec Charges Buffalo Advisory Firm And Principal With Fraud Relating To Association With Barred Adviser
Gatekeeper failures (auditors, broker‑dealers, advisers) including AML, custody, supervision, or independence issues.
[Fraud & Misrepresentation] Sec Charges Cannabis Investment Fund Greenview Investment Partners L P And Founder Michael E Cone In Fraudulent Scheme
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Insider Trading & MNPI] Sec Charges Charlie Chen Shui Foon Mok Multi Year Trading Scheme
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Offering Fraud / Ponzi] Sec Charges Clifton E Stanley In Multimillion Dollar Ponzi Scheme Targeting Seniors
Investor solicitations with misused proceeds or Ponzi‑like mechanics. Highlights escrow, use‑of‑proceeds audits, and third‑party verification.
[Fraud & Misrepresentation] Sec Charges Company Individuals Defrauding Investors Soil Remediation Scam
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Emil Botvinnik Jovannie Aquino With Defrauding Customers
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Digital Assets] Sec Charges Former Bitcoin Denominated Exchange Operator Fraud
Unregistered token/ICO offerings or paid‑touting violations; underscores Howey analysis and custody/disclosure controls.
[Microcap Promotion & Manipulation] Sec Charges Gregory Bercowy Market Manipulation Scheme
Undisclosed paid touting, scalping, or wash/matched trading activity in microcaps. Requires 17(b) disclosures, promoter diligence, and market‑abuse surveillance.
[Insider Trading & MNPI] Sec Charges Jeffrey Goldman And Christopher Eikenberry With Fraud In Fake Trading Accounts Scheme
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Fraud & Misrepresentation] Sec Charges Michael Liberty Fraudulent Scheme Defraud Investors Misappropriate Funds
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Offering Fraud / Ponzi] Sec Charges Michael Scronic Engaging Ponzi Like Scheme
Investor solicitations with misused proceeds or Ponzi‑like mechanics. Highlights escrow, use‑of‑proceeds audits, and third‑party verification.
[Insider Trading & MNPI] Sec Charges Nfl Player With Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Fraud & Misrepresentation] Sec Charges Operators Private Real Estate Fund Scheme Defraud Retail Investors
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Insider Trading & MNPI] Sec Charges Saverio Barbera Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Gatekeeper / BD / IA] Sec Charges Technology Fund Adviser Founder In Fraudulent Scheme
Gatekeeper failures (auditors, broker‑dealers, advisers) including AML, custody, supervision, or independence issues.
[Accounting, Disclosure & Controls] Sec Charges Telecommunications Expense Management Company Tangoe Inc With Accounting Fraud
Reporting misstatements or internal‑controls gaps (including metrics/KPI issues). Calls for robust disclosure governance and audit substantiation.
[Fraud & Misrepresentation] Sec Detects William Gennity Rocco Roveccio Defrauding Customers
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Files Charges In Busted Microcap Schemes
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Judgments, Bars & Remedies] Sec Obtains Final Judgment Merrill Robertson Charged Running Million Fraud
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Microcap Promotion & Manipulation] Sec Obtains Final Judgment Vincent Cassano Charged Fraudulent Stock Promotion Scheme
Undisclosed paid touting, scalping, or wash/matched trading activity in microcaps. Requires 17(b) disclosures, promoter diligence, and market‑abuse surveillance.
[Offering Fraud / Ponzi] Sec Stops Ponzi Schemer Targeting Retail Investors Obtains Preliminary Injunction Asset Freeze
Investor solicitations with misused proceeds or Ponzi‑like mechanics. Highlights escrow, use‑of‑proceeds audits, and third‑party verification.
[Insider Trading & MNPI] Shane Fleming Charged Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Judgments, Bars & Remedies] William Schantz Verto Capital Management Llc Settle Claims Additional Investments Scheme Involving Life Settlements
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Other / Context] https://www.securitieslawyer101.com/2018/37127/
Contextual enforcement/policy development relevant to compliance expectations.
[Fraud & Misrepresentation] Barry Miller Associate Director In Division Of Investment Management To Leave Sec After More Than Years Of Public Service
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Accounting, Disclosure & Controls] Citigroup To Pay More Than Million For Books And Records Violations And Inadequate Controls
Reporting misstatements or internal‑controls gaps (including metrics/KPI issues). Calls for robust disclosure governance and audit substantiation.
[Other / Context] Court Orders Former F Squared Ceo Pay Million
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Fee Rate Advisory For Fiscal Year
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] How To Spot A Penny Stock Scam
Contextual enforcement/policy development relevant to compliance expectations.
[Accounting, Disclosure & Controls] Sec Charges Former Online Marketing Company Executives With Inflating Operating Metrics
Reporting misstatements or internal‑controls gaps (including metrics/KPI issues). Calls for robust disclosure governance and audit substantiation.
[Fraud & Misrepresentation] Sec Charges John Jumper Stealing Millions Pension Plan
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Mizuho Securities For Failure To Safeguard Customer Information
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Microcap Promotion & Manipulation] Sec Charges Penny Stock Mailman Scalping Investors Gold Mining Stocks
Undisclosed paid touting, scalping, or wash/matched trading activity in microcaps. Requires 17(b) disclosures, promoter diligence, and market‑abuse surveillance.
[Microcap Promotion & Manipulation] Sec Foils Penny Stock Executives Plan Pump Stock Exploit Investors
Undisclosed paid touting, scalping, or wash/matched trading activity in microcaps. Requires 17(b) disclosures, promoter diligence, and market‑abuse surveillance.
[Accounting, Disclosure & Controls] Sec Proposes Targeted Changes Public Liquidity Risk Management Disclosure
Reporting misstatements or internal‑controls gaps (including metrics/KPI issues). Calls for robust disclosure governance and audit substantiation.
[Other / Context] Securities Exchange Commission V Americrude
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Securities Exchange Commission V Elizabeth Holmes
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Smaller Reporting Company
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Transamerica Entities To Pay Million To Investors Relating To Errors In Quantitative Investment Models
Contextual enforcement/policy development relevant to compliance expectations.
[FCPA / Books & Records] Sec Charges Real Estate Broker Joohyun Bahn With Fcpa Violations
Books‑and‑records and internal‑controls concerns, often tied to third‑party risks and international operations.
[FCPA / Books & Records] Deutsche Bank To Pay Nearly Million For Improper Handling Of Adrs
Books‑and‑records and internal‑controls concerns, often tied to third‑party risks and international operations.
[Fraud & Misrepresentation] Sec Charges Oil Company Ceo John Schiller With Hiding His Personal Loans
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
2019
[Fraud & Misrepresentation] Using Inaccurate Info To Solicit Investors
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[FCPA / Books & Records] Tim Leissner Banned For Life By Sec Due To Fcpa Violations
Books‑and‑records and internal‑controls concerns, often tied to third‑party risks and international operations.
[Insider Trading & MNPI] Charges Yuh Yue Chen Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Judgments, Bars & Remedies] Final Judgment Joseph Meli Ticket Resale Scam
Final remedies recorded, including disgorgement, civil penalties, injunctions, and bars/undertakings.
[Fraud & Misrepresentation] Gonzalo Ortiz Charged Securities Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Misappropriation Fraudulent Securities
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Palm Beach Atlantic Financial Group Charged With Fraud By Sec
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Former Top Execs Of Outcome Health With 487m Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges Kimberly Sredich Scheme
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Former Woodbridge Directors Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Freezes Assets Of Nanotech Engineering Inc Due To Alleged Fraud
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Digital Assets] Sec Halts Alleged Billion Unregistered Token Offering
Unregistered token/ICO offerings or paid‑touting violations; underscores Howey analysis and custody/disclosure controls.
[Offering Fraud / Ponzi] Secc Hristopher Dougherty Ponzi Scheme
Investor solicitations with misused proceeds or Ponzi‑like mechanics. Highlights escrow, use‑of‑proceeds audits, and third‑party verification.
[FCPA / Books & Records] Telefonaktiebolaget Lm Ericsson Charged With Fcpa Violations
Books‑and‑records and internal‑controls concerns, often tied to third‑party risks and international operations.
[Accounting, Disclosure & Controls] Truckload Freight Accounting Fraud
Reporting misstatements or internal‑controls gaps (including metrics/KPI issues). Calls for robust disclosure governance and audit substantiation.
[Insider Trading & MNPI] U S Rep Christopher Collins Pleads Guilty To Insider Trading
Trading while in possession of MNPI (or tipping chains), often around M&A, earnings, or material announcements. Emphasizes pre‑clearance, blackouts, and wall‑cross controls.
[Digital Assets] Director Bill Hinman Expands On Secs Approach To Crypto
Unregistered token/ICO offerings or paid‑touting violations; underscores Howey analysis and custody/disclosure controls.
[Other / Context] Knightsbridge Private Partners Accused Of Selling Fake Shares Of Stock
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Popular Messaging App Kik Shuts Down Blames Sec
Contextual enforcement/policy development relevant to compliance expectations.
[Other / Context] Recent Court Dissent Shows Progress For Marijuana Companies
Contextual enforcement/policy development relevant to compliance expectations.
[Fraud & Misrepresentation] Sec Charges Advisory Firm Arif Naqvi
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Fraud & Misrepresentation] Sec Charges David Loflin In Greenway Design Scam
Material misrepresentations or omissions in offerings or public statements; stresses substantiation and board oversight.
[Digital Assets] Sec Charges Ico Research Provider With Failing To Disclose It Was Paid To Tout Digital Assets
Unregistered token/ICO offerings or paid‑touting violations; underscores Howey analysis and custody/disclosure controls.
2020
[Other / Context] U S Small Business Administration Offers Funding In Response To Coronavirus Covid
Contextual enforcement/policy development relevant to compliance expectations.
[Digital Assets] Finra Addresses Digital Securities Regulatory Notice
Unregistered token/ICO offerings or paid‑touting violations; underscores Howey analysis and custody/disclosure controls.
This article is for informational purposes only.
At Hamilton & Associates Law Group, P.A., we help issuers and investors distinguish opportunity from risk — guiding companies through every phase of their capital markets evolution, from OTC entry to exchange listing.
To speak with a Securities Attorney, please contact Brenda Hamilton at 200 E Palmetto Rd, Suite 103, Boca Raton, Florida, (561) 416-8956, or by email at [email protected].
Hamilton & Associates | Securities Attorneys
Brenda Hamilton, Securities Attorney
200 E Palmetto Rd, Suite 103
Boca Raton, Florida 33432
Telephone: (561) 416-8956
Facsimile: (561) 416-2855
www.SecuritiesLawyer101.com
