http://www.sec.gov/litigation/litreleases.shtml The latest litigation releases from the Securities and Exchange Commission en-us Thu, 24 May 2012 00:00:01 EDT Thu, 24 May 2012 16:27:15 EDT http://www.sec.gov/litigation/litreleases/2012/lr22375.htm SEC CHARGES NORTHERN CALIFORNIA FUND MANAGER IN $60 MILLION SCHEME LR-22375 Thu, 24 May 2012 16:27:15 EDT http://www.sec.gov/litigation/litreleases/2012/lr22374.htm Stephen H. Guth Settles SEC Insider Trading Charge Concerning Omrix Tender Offer LR-22374 Thu, 24 May 2012 15:24:05 EDT http://www.sec.gov/litigation/litreleases/2012/lr22373.htm SEC CHARGES NEW JERSEY MAN IN REAL ESTATE INVESTMENT SCAM LR-22373 Tue, 22 May 2012 17:51:54 EDT http://www.sec.gov/litigation/litreleases/2012/lr22372.htm SEC Charges Former Yahoo Executive and Ameriprise Mutual Fund Manager With Insider Trading LR-22372 Tue, 22 May 2012 12:06:08 EDT http://www.sec.gov/litigation/litreleases/2012/lr22371.htm SEC CHARGES SEATTLE-BASED FUND MANAGER FOR SECRETLY DIVERTING CLIENT FUNDS TO HIS OWN START-UP COMPANIES LR-22371 Fri, 18 May 2012 13:58:26 EDT http://www.sec.gov/litigation/litreleases/2012/lr22370.htm SEC CHARGES U.S. PERPETRATORS IN $35 MILLION INTERNATIONAL BOILER ROOM SCHEME LR-22370 Thu, 17 May 2012 09:40:20 EDT http://www.sec.gov/litigation/litreleases/2012/lr22369.htm Former CEO of Presstek, Inc. Settles Regulation FD Charges LR-22369 Tue, 15 May 2012 15:24:20 EDT http://www.sec.gov/litigation/litreleases/2012/lr22368.htm SEC CHARGES CHINA NATURAL GAS AND ITS CHAIRMAN FOR CONCEALING LOANS TO BENEFIT HIS FAMILY LR-22368 Mon, 14 May 2012 17:23:29 EDT http://www.sec.gov/litigation/litreleases/2012/lr22367.htm SEC CHARGES FORMER OIL COMPANY EXECUTIVE WITH INSIDER TRADING LR-22367 Fri, 11 May 2012 16:57:59 EDT http://www.sec.gov/litigation/litreleases/2012/lr22366.htm COURT ENTERS FINAL JUDGMENT AGAINST DEFENDANTS PHILIP PRITCHARD, PIETRO CIMINO, AND GLOBAL DEVELOPMENT and ENVIRONMENTAL RESOURCES, INC. LR-22366 Fri, 11 May 2012 16:38:23 EDT http://www.sec.gov/litigation/litreleases/2012/lr22365.htm SEC CHARGES APARTMENTS AMERICA AND ITS OWNERS IN SCHEME TO DEFRAUD INVESTORS LR-22365 Fri, 11 May 2012 15:01:15 EDT http://www.sec.gov/litigation/litreleases/2012/lr22364.htm GEORGIA DOCTOR CONSENTS TO ORDER IN SETTLEMENT OF SEC INSIDER TRADING CHARGES LR-22364 Thu, 10 May 2012 13:10:55 EDT http://www.sec.gov/litigation/litreleases/2012/lr22363.htm On May 9, 2012, the Securities and Exchange Commission charged a Manhattan resident with carrying out a complex market manipulation scheme in biopharmaceutical stocks after he was kicked out of the brokerage industry for fraud. LR-22363 Thu, 10 May 2012 11:24:51 EDT http://www.sec.gov/litigation/litreleases/2012/lr22362.htm SEC CHARGES FORMER DETROIT OFFICIALS AND INVESTMENT ADVISER TO CITY PENSION FUNDS IN INFLUENCE PEDDLING SCHEME LR-22362 Wed, 9 May 2012 13:35:31 EDT http://www.sec.gov/litigation/litreleases/2012/lr22360a.htm SEC CHARGES MOVIE PRODUCER AND RING OF RELATIVES AND BUSINESS PARTNERS WITH INSIDER TRADING LR-22360A Wed, 9 May 2012 10:00:29 EDT http://www.sec.gov/litigation/litreleases/2012/lr22361.htm SEC Charges Arizona Resident with Securities Fraud LR-22361 Tue, 8 May 2012 17:47:53 EDT http://www.sec.gov/litigation/litreleases/2012/lr22359.htm Court Enters Final Judgments Against Defendants in Market Timing Case LR-22359 Tue, 8 May 2012 12:32:29 EDT http://www.sec.gov/litigation/litreleases/2012/lr22358.htm SEC Obtains Final Judgment on Consent Against James Fleishman LR-22358 Tue, 8 May 2012 12:32:29 EDT http://www.sec.gov/litigation/litreleases/2012/lr22357.htm The Securities and Exchange Commission today charged a former paralegal at a Kalispell, Mont.-based semiconductor company and her father with insider trading on confidential information about the 2009 acquisition of the company. LR-22357 Mon, 7 May 2012 17:17:13 EDT http://www.sec.gov/litigation/litreleases/2012/lr22356.htm Commission Obtains Preliminary Injunction and Asset Freeze Against Massachusetts-Based Parties Who Misappropriated Investor Funds LR-22356 Mon, 7 May 2012 09:13:19 EDT http://www.sec.gov/litigation/litreleases/2012/lr22355.htm Eleventh Circuit Court of Appeals Affirms the District Court's Order Granting Summary Judgment Against Michael Lauer and Ordering Him to Pay More Than $62 Million LR-22355 Wed, 2 May 2012 16:01:36 EDT http://www.sec.gov/litigation/litreleases/2012/lr22354.htm SEC Charges Two Former Investor Seminar Salespeople with Securities Law Violations LR-22354 Tue, 1 May 2012 16:31:44 EDT http://www.sec.gov/litigation/litreleases/2012/lr22353.htm SEC FILES INJUNCTIVE ACTION AGAINST INVESTMENT ADVISERS RKC CAPITAL MANAGEMENT, LLC, RKC CAPITAL LLC, AND RUSSELL K. CANNON LR-22353 Tue, 1 May 2012 12:26:34 EDT http://www.sec.gov/litigation/litreleases/2012/lr22352.htm SEC CHARGES ATTORNEY AND CLIENTS IN SCHEME TO UNLAWFULLY SELL BILLIONS OF PENNY-STOCK SHARES LR-22352 Tue, 1 May 2012 12:26:34 EDT http://www.sec.gov/litigation/litreleases/2012/lr22351.htm Defendants Kenneth A. Wolkoff and George Sobol Settle Charges of Securities Registration Violations in SEC Action LR-22351 Mon, 30 Apr 2012 17:00:57 EDT http://www.sec.gov/litigation/litreleases/2012/lr22350.htm SEC FILES CHARGES AGAINST FORMER ATTORNEY FOR MUTUAL BENEFITS LR-22350 Mon, 30 Apr 2012 16:20:57 EDT http://www.sec.gov/litigation/litreleases/2012/lr22349.htm COURT DISMISSES APPEAL OF LEILA C. JENKINS, OWNER OF INVESTMENT ADVISER LOCKE CAPITAL MANAGEMENT, INC. LR-22349 Mon, 30 Apr 2012 15:32:57 EDT http://www.sec.gov/litigation/litreleases/2012/lr22348.htm SEC CHARGES VOIP COMPANY AND ITS OWNERS WITH CONDUCTING A FRAUDULENT OFFERING TARGETING CHRISTIAN INVESTORS LR-22348 Mon, 30 Apr 2012 15:32:57 EDT http://www.sec.gov/litigation/litreleases/2012/lr22347.htm COURT AWARDS SUMMARY JUDGMENT AGAINST DEFENDANT JAMES PUTMAN AND ORDERS HIM TO PAY OVER $1.6 MILLION LR-22347 Fri, 27 Apr 2012 16:52:57 EDT http://www.sec.gov/litigation/litreleases/2012/lr22346.htm SEC CHARGES FORMER MORGAN STANLEY EXECUTIVE WITH FCPA VIOLATIONS AND INVESTMENT ADVISER FRAUD LR-22346 Wed, 25 Apr 2012 18:00 EDT http://www.sec.gov/litigation/litreleases/2012/lr22345.htm ATTORNEY, WALL STREET TRADER, AND MIDDLEMAN SETTLE SEC CHARGES IN $32 MILLION INSIDER TRADING CASE LR-22345 Wed, 25 Apr 2012 15:50:40 EDT http://www.sec.gov/litigation/litreleases/2012/lr22344.htm SEC CHARGES H&R BLOCK SUBSIDIARY OPTION ONE WITH DEFRAUDING INVESTORS IN SUBPRIME MORTGAGE INVESTMENTS LR-22344 Wed, 25 Apr 2012 11:25:57 EDT http://www.sec.gov/litigation/litreleases/2012/lr22343.htm SEC OBTAINS AN ASSET FREEZE AND OTHER RELIEF AGAINST ALLEN WEINTRAUB TO HALT HIS FRAUDULENT SCHEME OF PURPORTEDLY SELLING PRE-IPO FACEBOOK SHARES LR-22343 Tue, 24 Apr 2012 15:16:52 EDT http://www.sec.gov/litigation/litreleases/2012/lr22342.htm SEC CHARGES FORMER CALPERS CEO AND FRIEND WITH FALSIFYING LETTERS IN $20 MILLION PLACEMENT AGENT FEE SCHEME LR-22342 Mon, 23 Apr 2012 17:45:21 EDT http://www.sec.gov/litigation/litreleases/2012/lr22341.htm SEC Sues Chairman of SinoTech Energy for Misappropriating $40 Million of Company Cash, and SinoTech for Falsifying Asset Values LR-22341 Mon, 23 Apr 2012 17:45:21 EDT http://www.sec.gov/litigation/litreleases/2012/lr22340.htm SEC OBTAINS $4.8 MILLION JUDGMENT AGAINST MARCO GLISSON, WHO WAS CHARGED WITH MAKING A MARKET IN DEREGISTERED SECURITIES OF CMKM DIAMONDS, INC. LR-22340 Mon, 23 Apr 2012 17:45:21 EDT http://www.sec.gov/litigation/litreleases/2012/lr22339.htm The Securities and Exchange Commission today charged twin brothers from the U.K. with defrauding approximately 75,000 investors through an Internet-based pump-and-dump scheme in which they touted a fake "stock picking robot" that purportedly identified penny stocks set to double in price. LR-22339 Fri, 20 Apr 2012 14:31:53 EDT http://www.sec.gov/litigation/litreleases/2012/lr22338.htm SEC ANNOUNCES SETTLEMENT OF ACCOUNTING FRAUD CHARGES AGAINST FORMER CSK AUTO CORPORATION MANAGEMENT LR-22338 Wed, 18 Apr 2012 17:45:55 EDT http://www.sec.gov/litigation/litreleases/2012/lr22337.htm SEC CHARGES LOS ANGELES-BASED PERPETRATOR FOR MUNICIPAL BOND FRAUD SCHEME LR-22337 Wed, 18 Apr 2012 15:50:22 EDT http://www.sec.gov/litigation/litreleases/2012/lr22336.htm Court Enters Judgment Enforcing Commission Order Suspending Attorney William J. Reilly from Practicing as an Attorney before Commission LR-22336 Wed, 18 Apr 2012 14:23:22 EDT http://www.sec.gov/litigation/litreleases/2012/lr22335.htm FORMER GATEWAY CFO SETTLES SEC FRAUD ACTION LR-22335 Wed, 18 Apr 2012 10:21:06 EDT http://www.sec.gov/litigation/litreleases/2012/lr22334.htm PENNY STOCK PROMOTERS ENJOINED AND BARRED LR-22334 Tue, 17 Apr 2012 16:30:59 EDT http://www.sec.gov/litigation/litreleases/2012/lr22333.htm SEC Charges Petr Murmylyuk with Fraudulent Brokerage Account Intrusion Scheme LR-22333 Tue, 17 Apr 2012 13:04:35 EDT http://www.sec.gov/litigation/litreleases/2012/lr22332.htm SEC ANNOUNCES ENTRY OF CONSENT JUDGMENT AND ISSUES ORDER AGAINST CPA CHARGED FOR HIS ROLE IN MASSIVE LIFE SETTLEMENT BONDING INVESTMENT FRAUD LR-22332 Mon, 16 Apr 2012 12:53:44 EDT http://www.sec.gov/litigation/litreleases/2012/lr22331.htm SEC SHUTS DOWN PONZI SCHEME TARGETING PERSIAN-JEWISH COMMUNITY IN LOS ANGELES LR-22331 Mon, 16 Apr 2012 10:01:44 EDT http://www.sec.gov/litigation/litreleases/2012/lr22330.htm SEC Charges Ephren J. Taylor, II with Operating a Ponzi Scheme LR-22330 Fri, 13 Apr 2012 10:21:33 EDT http://www.sec.gov/litigation/litreleases/2012/lr22329.htm Robert Stinson, Jr. Sentenced to 33 Years in Prison and Ordered to Pay $14 Million in Restitution for Orchestrating Multimillion Dollar Ponzi Scheme LR-22329 Wed, 11 Apr 2012 16:02:58 EDT http://www.sec.gov/litigation/litreleases/2012/lr22328.htm DEFAULT JUDGMENT ENTERED AGAINST DAVID E. HOWARD II, FLATIRON CAPITAL PARTNERS, LLC, AND FLATIRON SYSTEMS, LLC LR-22328 Wed, 11 Apr 2012 13:01:36 EDT http://www.sec.gov/litigation/litreleases/2012/lr22327.htm GLENCOE, ILLINOIS RESIDENT KENNETH A. DACHMAN ORDERED TO PAY OVER $2 MILLION FOR MISAPPROPRIATION AND OFFERING FRAUD LR-22327 Wed, 11 Apr 2012 11:55:40 EDT http://www.sec.gov/litigation/litreleases/2012/lr22326.htm AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li LR-22326 Wed, 11 Apr 2012 11:55:40 EDT http://www.sec.gov/litigation/litreleases/2012/lr22325.htm SEC Obtains Final Judgments on Consent against Diamondback Capital Management LLC LR-22325 Tue, 10 Apr 2012 17:22:53 EDT http://www.sec.gov/litigation/litreleases/2012/lr22324.htm FORMER SYNTAX-BRILLIAN CORP. CHIEF EXECUTIVE OFFICER ORDERED TO PAY MORE THAN $11 MILLION FOR INSIDER TRADING AND FINANCIAL FRAUD LR-22324 Mon, 9 Apr 2012 17:20:00 EDT http://www.sec.gov/litigation/litreleases/2012/lr22323.htm The Securities and Exchange Commission today charged a Silicon Valley businessman raised millions for two Internet start-ups by falsely promising investors that his companies were on the verge of undergoing successful initial public offerings and were well on their way to becoming the "next Google." LR-22323 Mon, 9 Apr 2012 16:18:58 EDT http://www.sec.gov/litigation/litreleases/2012/lr22322.htm On April 4, 2012, the U.S. District Court for the Southern District of New York (Hon. Frank Maas) signed a consent judgment requiring Defendants in the Securities and Exchange Commission's ("Commission") long-running insider trading case to pay an additional $1 million to resolve the Commission's case. LR-22322 Mon, 9 Apr 2012 10:30:26 EDT http://www.sec.gov/litigation/litreleases/2012/lr22321.htm The Securities and Exchange Commission today charged Anthony J. Nocella and J. Russell McCann for their involvement in a financial fraud at Franklin Bank Corp., a Houston-based bank holding company. LR-22321 Fri, 6 Apr 2012 17:08:46 EDT http://www.sec.gov/litigation/litreleases/2012/lr22320.htm SEC FREEZES ACCOUNTS OF SIX CHINESE CITIZENS AND ONE OFFSHORE ENTITY CHARGED WITH INSIDER TRADING LR-22320 Fri, 6 Apr 2012 15:41:52 EDT http://www.sec.gov/litigation/litreleases/2012/lr22319.htm SEC CHARGES SOUTH FLORIDA MAN WITH FRAUD IN PHONY STOCK-TRADING FUNDS LR-22319 Fri, 6 Apr 2012 15:41:52 EDT http://www.sec.gov/litigation/litreleases/2012/lr22318.htm On April 4, 2012, U.S. District Judge Kathleen Williams of the Southern District of Florida sentenced Gaston E. Cantens to five years' imprisonment followed by three years of supervised release for conspiring to commit mail and wire fraud. LR-22318 Fri, 6 Apr 2012 10:03:29 EDT http://www.sec.gov/litigation/litreleases/2012/lr22317.htm COURT HOLDS DEFENDANT IN CONTEMPT IN SEC ACTION INVOLVING RHODE ISLAND-BASED OFFERING FRAUD LR-22317 Thu, 5 Apr 2012 17:34:17 EDT http://www.sec.gov/litigation/litreleases/2012/lr22316.htm COURT ENTERS FINAL JUDGMENT AGAINST DEFENDANT ANTHONY M. CIMINI, SR. LR-22316 Tue, 3 Apr 2012 11:51:26 EDT http://www.sec.gov/litigation/litreleases/2012/lr22315.htm On April 2, 2012, the Securities and Exchange Commission sued two former executives at Austin, Texas-based ArthroCare Corporation to recover bonus compensation and stock sale profits they received during a period when the company's financial statements were misstated due to accounting fraud. LR-22315 Mon, 2 Apr 2012 17:39:58 EDT http://www.sec.gov/litigation/litreleases/2012/lr22314.htm COURT ENTERS $98.6 MILLION FINAL JUDGMENT AGAINST U.K. HEDGE FUND ADVISER PENTAGON CAPITAL MANAGEMENT PLC AND ITS CEO LEWIS CHESTER LR-22314 Mon, 2 Apr 2012 09:30:48 EDT http://www.sec.gov/litigation/litreleases/2012/lr22313.htm LR-22313 Fri, 30 Mar 2012 14:30:20 EDT http://www.sec.gov/litigation/litreleases/2012/lr22312.htm BRITISH VIRGIN ISLANDS CORPORATION AND RESIDENT OF SWITZERLAND SETTLE CHARGES OF INSIDER TRADING IN THE OPTIONS OF INTERMUNE, INC. LR-22312 Fri, 30 Mar 2012 12:30:20 EDT http://www.sec.gov/litigation/litreleases/2012/lr22311.htm SEC OBTAINS PRELIMINARY INJUNCTION IN NEW YORK INVESTMENT ADVISER CASE LR-22311 Wed, 28 Mar 2012 17:49:20 EDT http://www.sec.gov/litigation/litreleases/2012/lr22310.htm SEC Obtains Summary Judgment against Serial Fraudster Matthew J. Gagnon LR-22310 Wed, 28 Mar 2012 09:10:39 EDT http://www.sec.gov/litigation/litreleases/2012/lr22309.htm SEC FILES SETTLED CHARGES AGAINST FORMER BANK EXECUTIVE WHO MISLED AUDITORS LR-22309 Tue, 27 Mar 2012 15:50:39 EDT http://www.sec.gov/litigation/litreleases/2012/lr22308.htm SEC Obtains Final Judgment on Consent Against Winifred Jiau LR-22308 Tue, 27 Mar 2012 15:50:39 EDT http://www.sec.gov/litigation/litreleases/2012/lr22307.htm SEC Charges Operator of Gold Coin Firm with Conducting Fraudulent Securities Offering LR-22307 Mon, 26 Mar 2012 17:46:39 EDT http://www.sec.gov/litigation/litreleases/2012/lr22306.htm SEC CHARGES MEDICAL DEVICE COMPANY BIOMET WITH FOREIGN BRIBERY LR-22306 Mon, 26 Mar 2012 10:52:15 EDT http://www.sec.gov/litigation/litreleases/2012/lr22305.htm SEC Files Subpoena Enforcement Action Against Wells Fargo for Failure to Produce Documents in Mortgage-Backed Securities Investigation LR-22305 Thu, 22 Mar 2012 15:22:20 EDT http://www.sec.gov/litigation/litreleases/2012/lr22304.htm SEC SETTLES LITIGATION WITH FORMER VERITAS SOFTWARE CORPORATION HEAD OF SALES LR-22304 Thu, 22 Mar 2012 14:42:52 EDT http://www.sec.gov/litigation/litreleases/2012/lr22303.htm The Securities and Exchange Commission ("Commission") today announced the filing of a complaint alleging fraud charges against Andrew Franz ("Franz"), a resident of Aurora, Ohio. LR-22303 Thu, 22 Mar 2012 14:08:36 EDT http://www.sec.gov/litigation/litreleases/2012/lr22302.htm Court Orders Purported Hedge Fund Manager and Principal to Pay Over $7.5 Million LR-22302 Thu, 22 Mar 2012 10:57:30 EDT http://www.sec.gov/litigation/litreleases/2012/lr22301.htm The Securities and Exchange Commission ("Commission") charged a San Francisco-area investment adviser with defrauding investors by giving them a bogus audit report that embellished the financial performance of the fund in which they were investing. LR-22301 Wed, 21 Mar 2012 11:05:29 EDT http://www.sec.gov/litigation/litreleases/2012/lr22300.htm The Securities and Exchange Commission ("Commission") announced that on March 14, 2012, a federal jury convicted Brian Hollnagel and BCI Aircraft Leasing Inc. on seven criminal counts, including fraud and obstruction charges for engaging in a fraudulent financing scheme that raised more than $50 million from investors and lenders. LR-22300 Wed, 21 Mar 2012 10:47:29 EDT http://www.sec.gov/litigation/litreleases/2012/lr22299.htm Defendant Michael Kimelman Settles SEC Insider Trading Charges LR-22299 Tue, 20 Mar 2012 17:32:13 EDT http://www.sec.gov/litigation/litreleases/2012/lr22298.htm SEC Credits Former Axa Rosenberg Executive for Substantial Cooperation during Investigation LR-22298 Mon, 19 Mar 2012 13:00:30 EDT http://www.sec.gov/litigation/litreleases/2012/lr22297.htm Lanexa Management LLC Agrees Disgorge $746,797 in Insider Trading Profits LR-22297 Mon, 19 Mar 2012 12:00:30 EDT http://www.sec.gov/litigation/litreleases/2012/lr22296.htm SEC Charges Senior Executives at California-Based Firm in Stock Lending Scheme LR-22296 Fri, 16 Mar 2012 15:43:30 EDT http://www.sec.gov/litigation/litreleases/2012/lr22295.htm SEC CHARGES FORMER EXECUTIVE AT CKE RESTAURANTS WITH INSIDER TRADING LR-22295 Fri, 16 Mar 2012 15:43:30 EDT http://www.sec.gov/litigation/litreleases/2012/lr22294.htm COURT ORDERS FORMER BROKER TO PAY OVER $500,000 FOR DEFRAUDING 9/11 WIDOW LR-22294 Thu, 15 Mar 2012 17:02:37 EDT http://www.sec.gov/litigation/litreleases/2012/lr22293.htm On March 15, 2012, the Securities and Exchange Commission charged a Chicago-based management consultant with insider trading based on confidential information about his client's impending takeover of a Long Island-based vitamin company. LR-22293 Thu, 15 Mar 2012 12:41:25 EDT http://www.sec.gov/litigation/litreleases/2012/lr22292.htm SEC BRINGS CHARGES IN CONNECTION WITH SECONDARY MARKET TRADING OF PRIVATE COMPANY SHARES LR-22292 Wed, 14 Mar 2012 17:28:37 EDT http://www.sec.gov/litigation/litreleases/2012/lr22291.htm COURT ENTERS ORDER AMENDING FINAL JUDGMENT AGAINST AGILE GROUP FOUNDER AND HEAD PORTFOLIO MANAGER NEAL R. GREENBERG LR-22291 Wed, 14 Mar 2012 16:39:22 EDT http://www.sec.gov/litigation/litreleases/2012/lr22290.htm SEC Charges Three Executives At Noble Corporation With Bribing Customs Officials In Nigeria LR-22290 Wed, 14 Mar 2012 16:39:22 EDT http://www.sec.gov/litigation/litreleases/2012/lr22288.htm SEC CHARGES FIVE WITH INSIDER TRADING ON CONFIDENTIAL MERGER NEGOTIATIONS BETWEEN PHILADELPHIA COMPANY AND JAPANESE FIRM LR-22288 Tue, 13 Mar 2012 15:29:05 EDT http://www.sec.gov/litigation/litreleases/2012/lr22287.htm SEC Files Civil Injunctive Action Against Senior Management of Thornburg Mortgage, Inc. for Alleged Fraudulent Overstatement of Thornburg’s Income LR-22287 Tue, 13 Mar 2012 17:36:28 EDT http://www.sec.gov/litigation/litreleases/2012/lr22286.htm COURT ORDERS TWO OFFICERS OF UNITED AMERICAN VENTURES TO PAY $1 MILLION PENALTIES AND $8.5 MILLION IN DISGORGEMENT IN SEC CASE LR-22286 Tue, 13 Mar 2012 17:36:28 EDT http://www.sec.gov/litigation/litreleases/2012/lr22285.htm FORMER STARMEDIA EXECUTIVE AGREES TO SETTLEMENT IN SEC LITIGATION LR-22285 Tue, 13 Mar 2012 17:36:28 EDT http://www.sec.gov/litigation/litreleases/2012/lr22284.htm SEC Settles With Former Wall Street Professional for Insider Trading Relating to the Acquisition of Jamdat Mobile, Inc. LR-22284 Mon, 12 Mar 2012 16:39:45 EDT http://www.sec.gov/litigation/litreleases/2012/lr22282a.htm JURY FINDS DEFENDANT ALBERTO PEREZ LIABLE AND DEFENDANT SEBASTIAN DE LA MAZA NOT LIABLE FOR INSIDER TRADING IN VIOLATION OF THE SECURITIES AND EXCHANGE ACT OF 1934. LR-22282a Thu, 15 Mar 2012 09:15:45 EDT http://www.sec.gov/litigation/litreleases/2012/lr22281.htm SEC Charges Two Operators of Home Maintenance Company with Conducting Fraudulent Securities Offering LR-22281 Fri, 9 Mar 2012 10:16:12 EST http://www.sec.gov/litigation/litreleases/2012/lr22280.htm SEC CHARGES FORMER EXECUTIVE AT COCA-COLA BOTTLING COMPANY WITH INSIDER TRADING LR-22280 Fri, 9 Mar 2012 10:16:12 EST http://www.sec.gov/litigation/litreleases/2012/lr22279.htm DISTRICT JUDGE APPROVES SEC SETTLEMENT WITH KOSS CORPORATION AND MICHAEL J. KOSS, ITS CEO AND FORMER CFO LR-22279 Thu, 8 Mar 2012 17:53:19 EST http://www.sec.gov/litigation/litreleases/2012/lr22278.htm The Securities and Exchange Commission filed a civil action in the United States District Court for the District of Nevada against Prime Star Group, Inc. and its chief executive officer Roger Mohlman of Las Vegas, Nevada, for violations of antifraud, registration, reporting, and books and records provisions, and against Danny Colon and Marysol Morera of Edgewater, New Jersey, Felix Rivera of Clifton, New Jersey, New Jersey limited liability company DC International Consulting LLC, Kevin Carson of Lake Worth, Florida, Esper Gullatt, Jr. of Aurora, Colorado, Minnesota corporation The Stone Financial Group, Inc., and Joshua Konigsberg of Palm Beach Gardens, Florida for registration violations. LR-22278 Wed, 7 Mar 2012 15:18:11 EST