SEC Fraud - Going Public Lawyers

SEC Charges Howard Appel in Stock Manipulation Scheme

On  July 27, 2018 The Securities and Exchange Commission charged Howard Appel with manipulating the stocks of three microcap companies while on supervised release following his criminal conviction for a prior securities fraud. According to the SEC’s complaint,… Read More

SEC Charges John Paulsen for Aiding & Abetting Pay-To-Play Scheme

On July 26, 2018, the Securities & Exchange Commission (“SEC”) filed a civil injunctive action against John A. Paulsen, a former managing director and fixed income research analyst at a registered broker-dealer, for aiding and abetting a pay-to-play… Read More

Former KIT Digital Inc. President Gavin Campion Charged with Securities Fraud

The Securities and Exchange Commission (“SEC”) charged Gavin Campion, the former president of KIT Digital Inc., with securities fraud. The SEC’s complaint, filed in federal court in New York on November 15, alleges that over a one-year period… Read More

Former CEO of Gerova Financial Gary Hirst Charged with Securities Fraud

    On September 28, 2016, a federal court jury in New York, New York convicted Gary Hirst, the former CEO and President of Gerova Financial Group Ltd., of securities fraud, wire fraud and conspiracy charges. The criminal… Read More

Aegis Oil and President Patrick Beason Charged with Oil and Gas Fraud

On September 29, 2016, the Securities and Exchange Commission (“SEC”) charged Aegis Oil, LLC and its President and CEO Patrick Reagan Beason with defrauding investors in oil and gas projects managed by Aegis. According to the SEC’s complaint filed… Read More

Former IT Executive Charged in Computer Sciences Corporation Fraud Scheme

The Securities and Exchange Commission (“SEC”) announced on September 27, 2016 that a former IT executive at the Commonwealth Bank of Australia (CBA) has agreed to settle charges that he participated in a scheme to defraud Computer Sciences Corporation… Read More

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 prison and ordered to pay $1,819,391 in restitution in a parallel criminal case. Herman and her… Read More

Vineet Kalucha Sentenced to Federal Prison for Obstructing Investigation

Vineet Kalucha was sentenced to fifteen months in prison in a parallel criminal case after pleading guilty to charges that he obstructed justice in an investigation conducted by the SEC. Vineet Kalucha, whose sentence was handed down on July… Read More

Thomas and Stuart Conrad Charged With Securities Fraud

On Friday, July 15, 2016, the Securities and Exchange Commission (“SEC”) charged two residents of Alpharetta, Georgia, Thomas Conrad, Jr. and his son, Stuart Conrad, and their two unregistered advisory firms, Financial Management Corporation (“FMC”) and Financial Management… Read More

Judgments Entered Against Tyson Williams and Stanley Parrish

On July 18, 2016, the U.S. District Court for the District of Utah entered final judgments against Tyson D. Williams and Stanley D. Parrish, both of whom were charged by the SEC in 2014 with fraud in connection… Read More