SEC Obtains Emergency Order to Prevent Anthony Buzaneli from Leaving U.S.
On August 26, 2016, Judge Susan Richard Nelson of the District of Minnesota issued an order requiring Anthony Buzaneli to surrender his…
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Insights on securities law, exchange listings, going public, SEC reporting, and market regulation. Stay updated with our latest articles on capital markets compliance, regulatory developments, and strategic guidance for public and private companies.
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Court Enters Final Judgment Against Jilbert Tahmazian in an Antifraud Action
On August 26, 2016, the U.S. District Court for the Central District of California entered a final judgment against Jilbert Tahmazian, an…
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Donald Watkins and his Companies Charged with Defrauding Investors
The Securities and Exchange Commission (“SEC”) charged Alabama attorney Donald Watkins and companies he controls with defrauding professional athletes and other investors…
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Court Enters Final Judgments Against Promotors of Fraud Company Wings Network
On August 31, 2016, a federal court in Boston, Massachusetts, entered final judgments by default against five defendants in an ongoing enforcement…
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SEC Files Complaint Against Dennis Hamilton of Harman International Industries
On February 5, 2016, the SEC filed a complaint charging Dennis Wayne Hamilton with insider trading in the company’s stock and…
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SEC Charges Enviro Board Corporation and Two Executives with Fraud
On August 26, 2016 the Securities and Exchange Commission (“SEC”) charged Enviro Board Corporation and two of its executives with using baseless financial…
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SEC Files Subpoena Against Edward Panos and His Wife for Penny Stock Fraud
On August 25, 2016 the Securities and Exchange Commission (“SEC”) announced that it filed a subpoena enforcement action in the U.S. District Court…
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SEC Charges Secured Income Reserve and Former Officers with Fraud
The Securities and Exchange Commission (“SEC”) filed fraud charges against Secured Income Reserve, Inc. and three of its former officers alleging that…
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Cedric Cañas Charged with Insider Trading and Ordered to Pay Over $1.1 Million
The Securities and Exchange Commission (“SEC”) obtained a default judgment against a former high-ranking executive at Madrid-based Banco Santander, S.A. (“Santander”)…
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John Ragsdale Charged with Aiding and Abetting Penny Stock Fraud
On August 22, 2016 the Securities and Exchange Commission (“SEC”) announced that it has charged John Ragsdale of South Carolina with aiding and…
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Michael Andre Jones Charged for Fraudulent Offering and Sales of Unregistered Securities
On August 22, 2016 the Securities and Exchange Commission (“SEC”) announced that, on August 19, 2016, the SEC filed a settled civil action in…
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Court Enters Final Judgment Against Patrick O’Neill in Insider Trading Case
On August 18, 2016, the federal district court in Massachusetts entered a final judgment against a senior vice president at Eastern Bank Corporation, Patrick…
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Sean Stewart Found Guilty of Insider Trading
On August 17, 2016, a jury in federal court in Manhattan returned a guilty verdict on all nine counts against former investment…
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Stockbroker Paul Rampoldi Charged with Insider Trading
On August 11, 2016 the Securities and Exchange Commission (“SEC”) charged stockbroker Paul Rampoldi and his friend with participating in an insider…
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Global Digital Solutions of West Palm Beach, FL and CEO Charged with Fraud
On August 12, 2016 the Securities and Exchange Commission (“SEC”) charged West Palm Beach-based Global Digital Solutions, former chairman and CEO Richard Sullivan,…
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Sameer and Praveen Sethi Found in Contempt of Court After Injuction
On August 9, 2016, a federal court in Texas entered contempt orders against Sameer Sethi, Praveen Sethi, and John Weber after they…
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Edwin Ruh Jr. and His Firm Charged for a Fraudulent Securities Offering
On August 10, 2016, the Securities and Exchange Commission (“SEC”) filed fraud charges against an individual, Edwin Ruh Jr., and his firm,…
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Three Officers of Brokerage Firm Global Transition Solutions Charged with Fraud
On August 8, 2016 the Securities and Exchange Commission (“SEC”) charged three individuals and the now-defunct firms Global Transition Solutions, Inc. and…
Read MoreFootball Player Merrill Robertson Jr. Charged with Running a $10 Million Fraud
On August 10, 2016 the Securities and Exchange Commission (“SEC”) charged Merrill Robertson Jr., a former player for the Philadelphia Eagles, with…
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Investment Advisor Patrick Churchville Pleads Guilty to Running $21 Million Ponzi
On August 4, 2016, Patrick Churchville, a defendant in an ongoing SEC litigation, pled guilty to an information charging him with five…
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Cardiologist Dr. Edward Kosinski Charged with Insider Trading
On August 4, 2016 the Securities and Exchange Commission (“SEC”) charged a cardiologist with insider trading on confidential developments as he worked…
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Posted by Brenda Hamilton – Sandy Winick Sentenced
Posted by Brenda Hamilton. On August 17, 2016, Penny Stock Fraudster, Sandy Winick, a Canadian, was sentenced To 78 Months In prison…
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Leonid Momotok Pleads Guilty to Conspiracy to Commit Wire Fraud
On August 2, 2016, Leonid Momotok of Suwanee, Georgia pled guilty before United States Magistrate Judge Ramon E. Reyes, Jr. in United…
Read MoreCourt Enters Final Judgment Against Kenneth Rampino for Insider Trading
The Securities and Exchange Commission (SEC) announced that the federal district court in Rhode Island has entered a final judgment against Kenneth…
Read MoreCourt Finds Jeffry and Paul Downey and John Leonard Guilty of Oil and Gas Fraud
On July 25, the Honorable Sam R. Cummings of the United States District Court for the Northern District of Texas granted summary…
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Three Fraudsters on a Shopping Spree Met with an Asset Freeze
On July 28, 2016 the Securities and Exchange Commission (“SEC”) announced an asset freeze it has obtained against three men who aren’t registered to…
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SEC Charges the Luca Entities with Eb-5 Investment Fraud
On July 26, 2016, the Honorable Charles R. Breyer of the United States District Court for the Northern District of California entered…
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Rosalind Herman Sentenced to 7 Years, Ordered to Pay Nearly $2 Million in Restitution
On July 27, 2016, Rosalind Herman, a relief defendant in an ongoing SEC fraud action, was sentenced to seven years in federal…
Read MoreCharles Scoville & Traffic Monsoon Charged In Ponzi Scheme
On July 26, 2016 the Securities and Exchange Commission (“SEC”) announced that it obtained an asset freeze against the operator of an international Ponzi…
Read MoreJNL Oilfield Instruments and Founder Jeffery McCollum Charged with Operating a Ponzi Scheme
The Securities and Exchange Commission (“SEC”) announced that it has charged Odessa, Texas-based JNL Oilfield Instruments, LLC and its founder Jeffery McCollum with…
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