http://www.sec.gov/litigation/litreleases.shtml The latest litigation releases from the Securities and Exchange Commission en-us Mon, 20 May 2013 00:00:01 EDT Mon, 20 May 2013 17:26:21 EDT http://www.sec.gov/litigation/litreleases/2013/lr22704.htm Final Judgment Against Defendant Ren Hu On May 17, 2013 LR-22704 Mon, 20 May 2013 17:26:21 EDT http://www.sec.gov/litigation/litreleases/2013/lr22703.htm SEC Charges Chicago-Area Father and Son Conducting Cherry-Picking Scheme At Investment Firm LR-22703 Fri, 17 May 2013 13:46:10 EDT http://www.sec.gov/litigation/litreleases/2013/lr22702.htm SEC Charges Resident in the Atlanta Area and His Firm with Fraud in Connection with Prime Bank Scheme LR-22702 Fri, 17 May 2013 10:07:32 EDT http://www.sec.gov/litigation/litreleases/2013/lr22701.htm Final Judgments Entered Against Connecticut-Based Investment Adviser and His Firm Charged with Fraud for Stealing Investor Funds LR-22701 Thu, 16 May 2013 17:22 EDT http://www.sec.gov/litigation/litreleases/2013/lr22700.htm Final Settlements Reached in “Golden Goose” Wall Street Insider Trading Case LR-22700 Wed, 15 May 2013 16:50 EDT http://www.sec.gov/litigation/litreleases/2013/lr22699.htm SEC Charges Rino, Its Ceo, and Its Chairman of the Board with Scheme to Overstate Revenues and Divert Money for Personal Use LR-22699 Wed, 15 May 2013 16:42 EDT http://www.sec.gov/litigation/litreleases/2013/lr22698.htm SEC Charges China-Based Company and Former Chief Financial Officer in Fraudulent Scheme Involving Non-Existent Computing Business LR-22698 Wed, 08 May 2013 17:28:35 EDT http://www.sec.gov/litigation/litreleases/2013/lr22697.htm Court Enters Final Judgments Against Richard Verdiramo and Vincent L. Verdiramo, Esq. LR-22697 Tue, 07 May 2013 12:16:29 EDT http://www.sec.gov/litigation/litreleases/2013/lr22696.htm Court Orders Former Hedge Fund Manager Gad Grieve and Firm to Pay Over $26 Million in Disgorgement and Penalties LR-22696 Fri, 03 May 2013 16:09:49 EDT http://www.sec.gov/litigation/litreleases/2013/lr22695.htm LR-22695 Fri, 03 May 2013 16:05:44 EDT http://www.sec.gov/litigation/litreleases/2013/lr22694.htm Commission Obtains Temporary Restraining Order and Asset Freeze Against Massachusetts Man Who Defrauded Investors of At Least $5.5 Million LR-22694 Wed, 01 May 2013 18:05:58 EDT http://www.sec.gov/litigation/litreleases/2013/lr22693.htm Foreign Trader Agrees to Settle SEC Charges in Nexen Insider Trading Case LR-22693 Wed, 01 May 2013 13:30:00 EDT http://www.sec.gov/litigation/litreleases/2013/lr22692.htm Defendant in SEC Action Sentenced On Related Criminal Charges, Receives 17 Year Sentence LR-22692 Tue, 30 Apr 2013 15:05:00 EDT http://www.sec.gov/litigation/litreleases/2013/lr22691.htm On April 29, 2013, the Securities and Exchange Commission Announced That Greenwich, Conn.-Based Hedge Fund Advisory Firm Level Global Investors LP Has Agreed to Pay More Than $21.5 Million to Settle Charges That Its Co-Founder, Who Also Served as a Portfolio Manager, and Its Analyst Engaged in Repeated Insider Trading in the Securities of Dell Inc. and Nvidia Corp. LR-22691 Tue, 30 Apr 2013 13:35:00 EDT http://www.sec.gov/litigation/litreleases/2013/lr22690.htm SEC Charges City of Victorville, Underwriter, and Others with Defrauding Municipal Bond Investors LR-22690 Mon, 29 Apr 2013 15:12:04 EDT http://www.sec.gov/litigation/litreleases/2013/lr22689.htm District Court Enters Judgment of Permanent Injunction and Other Relief Against Defendant Innovida Holdings LLC. LR-22689 Fri, 26 Apr 2013 16:14:54 EDT http://www.sec.gov/litigation/litreleases/2013/lr22688.htm Remaining Claims Dismissed in Litigation with Aol Time Warner Executives LR-22688 Fri, 26 Apr 2013 16:14:54 EDT http://www.sec.gov/litigation/litreleases/2013/lr22687.htm District Court Enters Permanent Injunction Against Defendants Joseph Hilton, F/K/a Joseph Yurkin and New Horizon Publishing Inc. LR-22687 Fri, 26 Apr 2013 16:14:54 EDT http://www.sec.gov/litigation/litreleases/2013/lr22686.htm Court Finds Brokerage Firm and Two Former Executives Liable for Over $2.74 Million in a Fraudulent Misappropriation Case LR-22686 Fri, 26 Apr 2013 16:14:54 EDT http://www.sec.gov/litigation/litreleases/2013/lr22685.htm SEC Seeks to Halt Scheme Raising Investor Funds Under Guise of Jobs Act LR-22685 Thu, 25 Apr 2013 17:25:52 EDT http://www.sec.gov/litigation/litreleases/2013/lr22684.htm SEC Announces Settlements with Cache Decker and David Decker in SEC V. Zufelt LR-22684 Tue, 23 Apr 2013 18:01:10 EDT http://www.sec.gov/litigation/litreleases/2013/lr22683.htm SEC Charges Bahamian Broker-Dealer and Its President for Operating Illegally in the United States and Participating in an Unregistered Offering. LR-22683 Tue, 23 Apr 2013 16:13:49 EDT http://www.sec.gov/litigation/litreleases/2013/lr22682.htm the United States Securities and Exchange Commission (“Commission”) Filed a Civil Action in the United States District Court for the Southern District of Florida Against Mark D. Begelman, Charging Him with Insider Trading for Purchasing Bluegreen Corporation Stock in Advance of Bfc Financial Corporation's Announcement That It Would Acquire Bluegreen. LR-22682 Mon, 22 Apr 2013 18:13:33 EDT http://www.sec.gov/litigation/litreleases/2013/lr22681.htm Former "Teach Me to Trade" Saleswoman and Infomercial Personality Linda (Knudsen) Woolf Agrees to Settle Securities Fraud Charges and Pay a $225,000 Penalty LR-22681 Fri, 19 Apr 2013 16:20:29 EDT http://www.sec.gov/litigation/litreleases/2013/lr22680.htm SEC Files Subpoena Enforcement Action Against Andrew Famer and Iridium Capital, Ltd. for Failure to Produce Documents in Market Manipulation Investigation LR-22680 Thu, 18 Apr 2013 16:40:38 EDT http://www.sec.gov/litigation/litreleases/2013/lr22679.htm SEC Files Insider Trading Charges Against Former Trader Joseph Mancuso LR-22679 Thu, 18 Apr 2013 06:12:35 EDT http://www.sec.gov/litigation/litreleases/2013/lr22678.htm Former Investment Bank Analyst and His College Friend Plead Guilty to Insider Trading Scheme LR-22678 Wed, 17 Apr 2013 16:30:00 EDT http://www.sec.gov/litigation/litreleases/2013/lr22677.htm SEC Charges Two Arizona-Based Brokers with Defrauding Investors in Tankless Water Heater Venture LR-22677 Tue, 16 Apr 2013 17:22:48 EDT http://www.sec.gov/litigation/litreleases/2013/lr22676.htm Former Siemens Executive Uriel Sharef Settles Bribery Charges LR-22676 Tue, 16 Apr 2013 17:22:48 EDT http://www.sec.gov/litigation/litreleases/2013/lr22675.htm Final Judgments Entered Against Distributor and Investment Adviser LR-22675 Tue, 16 Apr 2013 16:43:52 EDT http://www.sec.gov/litigation/litreleases/2013/lr22674.htm SEC Charges Former Investment Banker with Insider Trading LR-22674 Tue, 16 Apr 2013 16:43:52 EDT http://www.sec.gov/litigation/litreleases/2013/lr22673.htm Court Enters Preliminary Injunction Against Inter Reef d/b/a Profitable Sunrise and Extends Asset Freeze Order LR-22673 Tue, 16 Apr 2013 13:43:00 EDT http://www.sec.gov/litigation/litreleases/2013/lr22672.htm SEC Charges Parker Drilling Company with Violating the Foreign Corrupt Practices Act LR-22672 Tue, 16 Apr 2013 13:16:00 EDT http://www.sec.gov/litigation/litreleases/2013/lr22671.htm SEC Charges Former Rochdale Securities Broker for Rogue Trades LR-22671 Mon, 15 Apr 2013 16:07:01 EDT http://www.sec.gov/litigation/litreleases/2013/lr22670.htm SEC Charges Former Kpmg Partner and Friend with Insider Trading LR-22670 Fri, 12 Apr 2013 16:43:49 EDT http://www.sec.gov/litigation/litreleases/2013/lr22669.htm SEC Charges Florida Man with Fraudulently Offering Investments Tied to Oil Drilling Projects LR-22669 Mon, 08 Apr 2013 12:20:34 EDT http://www.sec.gov/litigation/litreleases/2013/lr22668.htm The Securities and Exchange Commission (“Commission”) Announced That On April 3, 2013, Chief Judge Norman A. Mordue Entered a Final Judgment, Against Prime Rate and Return, LLC (“Prime Rate”), Individually and Doing Business as American Integrity Financial Company, in SEC V. Matthew John Ryan, et al. the Commission’S Complaint Alleges That Prime Rate Defrauded Investors Through a Multi-Million Dollar Ponzi Scheme Operated in the Albany-Troy Area by Prime Rate’S Sole Owner and Manager, Matthew Ryan. LR-22668 Mon, 08 Apr 2013 12:20:34 EDT http://www.sec.gov/litigation/litreleases/2013/lr22667.htm Final Judgement Entered Against Former Sales Agent of Massachusetts Company LR-22667 Fri, 05 Apr 2013 16:27:55 EDT http://www.sec.gov/litigation/litreleases/2013/lr22666.htm SEC Obtains Temporary Restraining Order Against Uk Company Operating Fraudulent Profitable Sunrise Internet Scheme and Names Czech Companies as Relief Defendants LR-22666 Fri, 05 Apr 2013 16:27:55 EDT http://www.sec.gov/litigation/litreleases/2013/lr22665.htm SEC OBTAINS FINAL JUDGMENT AGAINST FORMER CHIEF INVESTMENT OFFICER OF GIBRALTAR ASSET MANAGEMENT GROUP, LLC LR-22665 Wed, 03 Apr 2013 16:12:10 EDT http://www.sec.gov/litigation/litreleases/2013/lr22664.htm Father and Son Found Guilty in Real Estate Investment Fraud LR-22664 Mon, 01 Apr 2013 15:12:00 EDT http://www.sec.gov/litigation/litreleases/2013/lr22663.htm Foreign Traders Agree to Pay $3.3 Million to Settle Charges in Nexen Insider Trading Case LR-22663 Mon, 01 Apr 2013 15:00:00 EDT http://www.sec.gov/litigation/litreleases/2013/lr22662.htm DISTRICT JUDGE APPROVES SEC SETTLEMENT WITH SIGMA CAPITAL LR-22662 Mon, 01 Apr 2013 13:00:49 EDT http://www.sec.gov/litigation/litreleases/2013/lr22661.htm "Bob" Hancher Sentenced to Over 8 Years in Prison and Ordered to Pay Restitution of Over $ 3.1 Million LR-22661 Wed, 27 Mar 2013 14:06:00 EDT http://www.sec.gov/litigation/litreleases/2013/lr22660.htm SEC Charges California-Based Hedge Fund Analyst and Two Others with Insider Trading LR-22660 Wed, 27 Mar 2013 09:30:18 EDT http://www.sec.gov/litigation/litreleases/2013/lr22659.htm SEC Charges Del Monte Foods Company Employee with Insider Trading LR-22659 Fri, 22 Mar 2013 17:16:18 EDT http://www.sec.gov/litigation/litreleases/2013/lr22658.htm SEC Charges Rengan Rajaratnam with Insider Trading LR-22658 Fri, 22 Mar 2013 13:20:00 EDT http://www.sec.gov/litigation/litreleases/2013/lr22657.htm VENDOR SETTLES SEC CHARGES OF AIDING AND ABETTING VIOLATIONS BY ROYAL AHOLD LR-22657 Fri, 22 Mar 2013 13:20:00 EDT http://www.sec.gov/litigation/litreleases/2013/lr22656.htm The Securities and Exchange Commission announced that on March 21, 2013, the Honorable Michael M. Mihm of the United States District Court for the Central District of Illinois entered a judgment against Timothy J. Roth ("Roth"), a former investment adviser who misappropriated millions of dollars from the accounts of his advisory clients. LR-22656 Fri, 22 Mar 2013 13:20:00 EDT http://www.sec.gov/litigation/litreleases/2013/lr22655.htm FAKE HEDGE FUND MANAGER SENTENCED TO 40 MONTHS IN PRISON LR-22655 Thu, 21 Mar 2013 06:25:37 EDT http://www.sec.gov/litigation/litreleases/2013/lr22654.htm SEC SETTLES WITH MATTHEW PROUDFOOT AND LAURIE VRVILO IN GOLD MINING OFFERING FRAUD CASE LR-22654 Wed, 20 Mar 2013 15:15:54 EDT http://www.sec.gov/litigation/litreleases/2013/lr22653.htm California Hedge Fund Manager Agrees to $1.8 Million Settlement in Galleon-Related Insider Trading Case LR-22653 Wed, 20 Mar 2013 14:58:52 EDT http://www.sec.gov/litigation/litreleases/2013/lr22651.htm The Securities and Exchange Commission today filed fraud charges against E-Monee.com, Inc. (“E-Monee”), its president, Estuardo Benavides (“Benavides”), and one of its directors and a licensed Florida attorney, Robert B. Cook (“Cook”), for offering shares in E-Monee to investors under the false pretense that the company owned Mexican bonds worth billions of dollars. LR-22651 Tue, 19 Mar 2013 17:26:47 EDT http://www.sec.gov/litigation/litreleases/2013/lr22652.htm Defendant in SEC Enforcement Action Sentenced to Over Seven Years in Prison and Ordered to Pay Over $3 Million LR-22652 Tue, 19 Mar 2013 15:52:24 EDT http://www.sec.gov/litigation/litreleases/2013/lr22650.htm On March 19, 2013, the Securities and Exchange Commission announced that New York-based hedge fund advisory firm Sigma Capital Management has agreed to pay nearly $14 million to settle charges that the firm engaged in insider trading based on nonpublic information obtained through one of its analysts about the quarterly earnings of Dell and Nvidia Corporation. LR-22650 Tue, 19 Mar 2013 15:24:37 EDT http://www.sec.gov/litigation/litreleases/2013/lr22649.htm Massachusetts Federal Court Enters Judgments Against Two Defendants Charged in Investment Frauds LR-22649 Tue, 19 Mar 2013 15:24:37 EDT http://www.sec.gov/litigation/litreleases/2013/lr22648.htm SEC OBTAINS ASSET FREEZE AGAINST MASSACHUSETTS-BASED INVESTMENT ADVISER STEALING MONEY FROM CLIENTS LR-22648 Tue, 19 Mar 2013 09:18:44 EDT http://www.sec.gov/litigation/litreleases/2013/lr22647.htm On March 18, 2013, the Securities and Exchange Commission announced that Stamford, Conn.-based hedge fund advisory firm CR Intrinsic Investors has agreed to pay more than $600 million to settle SEC charges that it participated in an insider trading scheme involving a clinical trial for an Alzheimer’s drug being jointly developed by two pharmaceutical companies. LR-22647 Mon, 18 Mar 2013 17:26:08 EDT http://www.sec.gov/litigation/litreleases/2013/lr22646.htm FORMER MERCURY INTERACTIVE GENERAL COUNSEL SETTLES SUIT ALLEGING STOCK OPTIONS BACKDATING AND OTHER MISCONDUCT LR-22646 Fri, 15 Mar 2013 16:57:20 EDT http://www.sec.gov/litigation/litreleases/2013/lr22645.htm SEC CHARGES SAN DIEGO LAWYERS AND OTHERS IN AN INTERNATIONAL MARKET MANIPULATION SCHEME LR-22645 Fri, 15 Mar 2013 16:57:20 EDT http://www.sec.gov/litigation/litreleases/2013/lr22644.htm SEC Charges Edmund E. Wilson and Walter L. Ross with Violations of the Federal Securities Laws LR-22644 Thu, 14 Mar 2013 18:03:02 EDT http://www.sec.gov/litigation/litreleases/2013/lr22633a.htm Court enters final judgment against Defendants LR-22633A Thu, 14 Mar 2013 15:50:33 EST http://www.sec.gov/litigation/litreleases/2013/lr22643.htm Court Orders Former Prudential Securities Broker to Pay Over $763,000 Related to Deceptive Mutual Fund Market Timing Practices LR-22643 Wed, 13 Mar 2013 17:30:21 EDT http://www.sec.gov/litigation/litreleases/2013/lr22642.htm SEC SHUTS DOWN REAL ESTATE INVESTMENT SCHEME IN REDONDO BEACH LR-22642 Wed, 13 Mar 2013 07:35:12 EDT http://www.sec.gov/litigation/litreleases/2013/lr22641.htm BRITISH TWIN BROTHERS AGREE TO PAY $175,000 TO SETTLE MICROCAP PUMP-AND-DUMP CHARGES LR-22641 Tue, 12 Mar 2013 17:42:28 EDT http://www.sec.gov/litigation/litreleases/2013/lr22640.htm SEC Charges Former International Paper Company Executive with Insider Trading LR-22640 Mon, 11 Mar 2013 17:46:27 EDT http://www.sec.gov/litigation/litreleases/2013/lr22639.htm SEC HALTS "PLASMA ENGINE" INVESTMENT SCHEME OPERATED BY JOHN ROHNER AND HIS NEVADA COMPANIES LR-22639 Fri, 08 Mar 2013 17:46:27 EST http://www.sec.gov/litigation/litreleases/2013/lr22638.htm On March 7, 2013, the Securities and Exchange Commission charged a California-based lawyer who has been fraudulently churning out baseless legal opinion letters for penny stocks through his website without researching and evaluating the individual stock offerings. LR-22638 Fri, 08 Mar 2013 10:09:19 EST http://www.sec.gov/litigation/litreleases/2013/lr22637.htm SEC OBTAINS FINAL JUDGMENT AGAINST SCOTT KUPERSMITH LR-22637 Thu, 07 Mar 2013 17:56:54 EST http://www.sec.gov/litigation/litreleases/2013/lr22636.htm SEC Charges Robert Crane for Market Manipulation LR-22636 Thu, 07 Mar 2013 15:54:31 EST http://www.sec.gov/litigation/litreleases/2013/lr22635.htm The Securities and Exchange Commission announced today that the Honorable Terry L. Wooten, United States District Judge for the District of South Carolina, entered final judgments permanently enjoining M. Mark McAdams and R. Dane Freeman. LR-22635 Thu, 07 Mar 2013 15:54:31 EST http://www.sec.gov/litigation/litreleases/2013/lr22634.htm Court enters final judgment against Arizona Resident LR-22634 Thu, 07 Mar 2013 15:36:33 EST http://www.sec.gov/litigation/litreleases/2013/lr22632.htm On March 4, 2013, the Securities and Exchange Commission filed a civil action in the United States District Court for the District of Utah charging Canadian stock promoter Colin McCabe with disseminating false and misleading information to investors when recommending penny stocks to them. LR-22632 Tue, 05 Mar 2013 16:38:40 EST http://www.sec.gov/litigation/litreleases/2013/lr22631.htm SEC Charges Advisers to the RAHFCO Hedge Funds with Fraud LR-22631 Mon, 04 Mar 2013 13:01:02 EST http://www.sec.gov/litigation/litreleases/2013/lr22630.htm SEC CHARGES FALCON RIDGE DEVELOPMENT, INC. AND ITS PRESIDENT AND CEO FOR MARKET MANIPULATION SCHEME LR-22630 Fri, 01 Mar 2013 16:31:02 EST http://www.sec.gov/litigation/litreleases/2013/lr22629.htm FORMER OFFICER OF MASSACHUSETTS-BASED LOCATEPLUS HOLDINGS CORPORATION SENTENCED TO 60 MONTHS' IMPRISONMENT FOR SECURITIES FRAUD LR-22629 Fri, 01 Mar 2013 16:31:02 EST http://www.sec.gov/litigation/litreleases/2013/lr22628.htm The Securities and Exchange Commission today charged three Bay Area real estate fund managers with fraud for secretly using the assets of a new real estate fund to rescue an older, rapidly collapsing fund. LR-22628 Fri, 01 Mar 2013 06:13:02 EST http://www.sec.gov/litigation/litreleases/2013/lr22627.htm The Securities and Exchange Commission ("Commission") today charged Keyuan Petrochemicals, Inc., a China-based issuer formed through a reverse merger in April 2010, with violations of the anti-fraud, reporting, books and records, and internal control provisions of the federal securities laws. LR-22627 Thu, 28 Feb 2013 16:21:08 EST http://www.sec.gov/litigation/litreleases/2013/lr22626.htm Defendant Adam S. Rosengard Settles SEC Charges in Penny Stock Manipulation Case LR-22626 Wed, 27 Feb 2013 14:00:40 EST http://www.sec.gov/litigation/litreleases/2013/lr22625.htm SEC Charges Connecticut Hedge Fund Managers With Securities Fraud LR-22625 Tue, 26 Feb 2013 17:40:40 EST http://www.sec.gov/litigation/litreleases/2013/lr22624.htm FORMER STARMEDIA EXECUTIVE AGREES TO SETTLEMENT IN SEC LITIGATION LR-22624 Tue, 26 Feb 2013 13:38:29 EST http://www.sec.gov/litigation/litreleases/2013/lr22623.htm FORMER MERCURY INTERACTIVE CEO/CHAIRMAN AND CFO SETTLE SUIT ALLEGING STOCK OPTIONS BACKATING AND OTHER MISCONDUCT LR-22623 Fri, 22 Feb 2013 06:23:18 EST http://www.sec.gov/litigation/litreleases/2013/lr22622.htm SEC Charges Fund Manager in Scheme Involving Risky Mortgage-Related Investment LR-22622 Wed, 20 Feb 2013 16:51:19 EST http://www.sec.gov/litigation/litreleases/2013/lr22621.htm District Court Enters Judgment against New Mexico Ponzi Schemer LR-22621 Wed, 20 Feb 2013 15:05:55 EST http://www.sec.gov/litigation/litreleases/2013/lr22620.htm SEC FREEZES ASSETS IN SWISS-BASED ACCOUNT USED IN SUSPECTED INSIDER TRADING AHEAD OF HEINZ ACQUISITION LR-22620 Tue, 19 Feb 2013 17:24:48 EST http://www.sec.gov/litigation/litreleases/2013/lr22619.htm District Court Grants Securities and Exchange Commission’s Motions for Default Judgment against a Nationally Known Psychic and his Corporate Entities in Multi-Million Dollar Offering Fraud LR-22619 Fri, 15 Feb 2013 11:06:42 EST http://www.sec.gov/litigation/litreleases/2013/lr22618.htm SEC Sues Dallas Investment Adviser Principal for Conducting a Fraudulent High-Yield Investment Scheme LR-22618 Fri, 15 Feb 2013 10:38:00 EST http://www.sec.gov/litigation/litreleases/2013/lr22617.htm Court Enters Final Judgments Against Former Wall Street Banker, Downstream Russian Trader and Trader's Wife in Insider Trading Scheme LR-22617 Wed, 13 Feb 2013 16:55:26 EST http://www.sec.gov/litigation/litreleases/2013/lr22616.htm SEC Obtains Judgment Against Investment Adviser In Connection With Cherry-Picking Scheme LR-22616 Tue, 12 Feb 2013 16:45:26 EST http://www.sec.gov/litigation/litreleases/2013/lr22615.htm SEC HALTS $150 MILLION INVESTMENT SCHEME TO DUPE FOREIGN INVESTORS AND EXPLOIT IMMIGRATION PROGRAM LR-22615 Fri, 08 Feb 2013 17:57:26 EST http://www.sec.gov/litigation/litreleases/2013/lr22614.htm FORMER INDYMAC CFO DISMISSED FROM SEC LITIGATION LR-22614 Thu, 07 Feb 2013 17:38:07 EST http://www.sec.gov/litigation/litreleases/2013/lr22613.htm STEVEN HARROLD SETTLES SEC INSIDER TRADING CHARGES LR-22613 Wed, 06 Feb 2013 17:37:00 EST http://www.sec.gov/litigation/litreleases/2013/lr22612.htm The Securities and Exchange Commission today charged a Houston man with insider trading ahead of the acquisition of Santa Clara-based National Semiconductor Corporation based on confidential details that he gleaned from his wife, a partner at a large law firm that was consulted on the deal. LR-22612 Wed, 06 Feb 2013 15:11:46 EST http://www.sec.gov/litigation/litreleases/2013/lr22611.htm SEC OBTAINS JUDGMENTS AGAINST FORMER OFFICERS OF GIBRALTAR ASSET MANAGEMENT GROUP, LLC LR-22611 Wed, 06 Feb 2013 09:43:33 EST http://www.sec.gov/litigation/litreleases/2013/lr22610.htm The Securities and Exchange Commission today announced that four steel company executives and two of their tippees have agreed to pay $639,260 to settle insider trading charges against them. LR-22610 Tue, 05 Feb 2013 17:48:23 EST http://www.sec.gov/litigation/litreleases/2013/lr22609.htm Former Investment Adviser Sentenced to 12 Years for Misappropriating Client Assets LR-22609 Tue, 05 Feb 2013 17:55:11 EST http://www.sec.gov/litigation/litreleases/2013/lr22608.htm SEC Charges We The People, Inc., of The United States and Three Individuals In Offering Fraud Scheme LR-22608 Mon, 04 Feb 2013 18:01:33 EST http://www.sec.gov/litigation/litreleases/2013/lr22607.htm SEC Charges Five Former Executives of Cay Clubs Resorts and Marinas in $300 Million Real Estate Investment Fraud LR-22607 Thu, 31 Jan 2013 08:26:31 EST http://www.sec.gov/litigation/litreleases/2013/lr22606.htm The Securities and Exchange Commission today charged two information technology specialists at a Bend, Oregon-based health insurance company with insider trading on confidential information about the acquisition of their employer. LR-22606 Thu, 31 Jan 2013 08:26:31 EST http://www.sec.gov/litigation/litreleases/2013/lr22605.htm Court Enters Final Judgments, By Consent LR-22605 Wed, 30 Jan 2013 14:31:13 EST http://www.sec.gov/litigation/litreleases/2013/lr22604.htm Yitzchak Zigdon Settles SEC Fraud Charges LR-22604 Tue, 29 Jan 2013 18:27:10 EST http://www.sec.gov/litigation/litreleases/2013/lr22603.htm SEC SUES TO HALT HOUSTON-AREA INVESTMENT SCHEME TARGETING LEBANESE AND DRUZE COMMUNITIES LR-22603 Tue, 29 Jan 2013 14:27:53 EST http://www.sec.gov/litigation/litreleases/2013/lr22602.htm SEC CHARGES FORMER JEFFERIES EXECUTIVE WITH DEFRAUDING INVESTORS IN MORTGAGE-BACKED SECURITIES LR-22602 Tue, 29 Jan 2013 11:06:18 EST http://www.sec.gov/litigation/litreleases/2013/lr22601.htm RANDY M. CHO SENTENCED TO PRISON TERM OF 12 YEARS IN CRIMINAL ACTION LR-22601 Thu, 24 Jan 2013 16:09:03 EST http://www.sec.gov/litigation/litreleases/2013/lr22600.htm DISTRICT COURT DENIES CHINA-BASED COMPANY'S MOTION TO DISMSS SEC ENFORCEMENT ACTION LR-22600 Thu, 24 Jan 2013 16:09:03 EST http://www.sec.gov/litigation/litreleases/2013/lr22599.htm SEC Charges Jonathan C. Gilchrist with the Unregistered Offer and Sale of Securities and Stock Manipulation LR-22599 Wed, 23 Jan 2013 17:49:58 EST http://www.sec.gov/litigation/litreleases/2013/lr22598.htm JUDGMENT ENTERED AGAINST VISION SECURITIES, DANIEL JAMES GALLAGHER, CHRISTOPHER CASTALDO, AND CORPORATE COMMUNICATIONS CORP. ; CLAIMS AGAINST FRANK ZANGARA DISMISSED LR-22598 Wed, 23 Jan 2013 17:49:58 EST http://www.sec.gov/litigation/litreleases/2013/lr22597.htm KENNETH A. DACHMAN SENTENCED TO 10 YEARS IN PRISON AND ORDERED TO PAY OVER $4 MILLION IN RESTITUTION LR-22597 Tue, 22 Jan 2013 13:29:51 EST http://www.sec.gov/litigation/litreleases/2013/lr22596.htm SEC Charges Georgia Resident with Insider Trading LR-22596 Thu, 17 Jan 2013 11:20:54 EST http://www.sec.gov/litigation/litreleases/2013/lr22595.htm SEC Files Settled Insider Trading Charges Against Former Trader Eric Rogers LR-22595 Thu, 17 Jan 2013 11:20:54 EST http://www.sec.gov/litigation/litreleases/2013/lr22594.htm SEC OBTAINS SIGNIFICANT RELIEF IN SUMMARY JUDGMENT WIN AGAINST DEFENDANTS CHARGED WITH DEFRAUDING INVESTORS IN FICTITIOUS OFFERINGS LR-22594 Tue, 15 Jan 2013 15:12:15 EST http://www.sec.gov/litigation/litreleases/2013/lr22593.htm Commission Settles with Four Defendants in Sedona Corporation Market Manipulation Fraud LR-22593 Tue, 15 Jan 2013 10:06:54 EST http://www.sec.gov/litigation/litreleases/2013/lr22592.htm UNITED STATES DISTRICT COURT ENTERS FINAL JUDGMENTS IN PENNY STOCK DISTRIBUTION SCHEME CHARGED BY THE SEC LR-22592 Mon, 14 Jan 2013 17:20 EST http://www.sec.gov/litigation/litreleases/2013/lr22591.htm Final Judgment Entered Ordering Massachusetts-Based Investment Adviser to Pay Over $7.2 Million LR-22591 Fri, 11 Jan 2013 15:20:54 EST http://www.sec.gov/litigation/litreleases/2013/lr22590.htm Court Finds in Favor of Three Remaining Defendants in Penny Stock and Accounting Fraud Case LR-22590 Fri, 11 Jan 2013 15:04:06 EST http://www.sec.gov/litigation/litreleases/2013/lr22589.htm SEC Charges Volt Information Sciences, Inc. and Two Former Officers with Securities Fraud LR-22589 Fri, 11 Jan 2013 12:33:17 EST http://www.sec.gov/litigation/litreleases/2013/lr22588.htm Court Orders New York-Based Hedge Fund Manager and Firm to Pay Nearly $5 Million in Disgorgement and Penalties LR-22588 Wed, 09 Jan 2013 17:22:17 EST http://www.sec.gov/litigation/litreleases/2013/lr22587.htm SEC Charges Three Former Senior Officers of Commonwealth Bank With Understating Losses and Material Misstatements During Financial Crisis LR-22587 Wed, 09 Jan 2013 14:59:10 EST http://www.sec.gov/litigation/litreleases/2013/lr22586.htm SEC OBTAINS JUDGEMENTS AGAINST FORMER SPONGETECH EXECUTIVES MICHAEL E. METTER AND STEVEN Y. MOSKOWITZ LR-22586 Fri, 04 Jan 2013 14:25:48 EST http://www.sec.gov/litigation/litreleases/2013/lr22585.htm SEC Charges California Company and CEO With Defrauding Investors In Nevada Gold Mining LR-22585 Thu, 03 Jan 2013 15:40:48 EST http://www.sec.gov/litigation/litreleases/2013/lr22583.htm FINAL JUDGMENT ENTERED AGAINST DEFENDANT IN SEC ACTION INVOLVING RHODE ISLAND-BASED OFFERING FRAUD LR-22583 Wed, 02 Jan 2013 13:49:11 EST http://www.sec.gov/litigation/litreleases/2012/lr22582.htm SEC Obtains Final Judgment on Consent as to Raj Rajaratnam LR-22582 Thu, 27 Dec 2012 16:54:12 EST http://www.sec.gov/litigation/litreleases/2012/lr22581.htm SEC CHARGES RESEARCH ANALYST WITH TRADING AND TIPPING AHEAD OF IBM-SPSS MERGER LR-22581 Thu, 27 Dec 2012 15:13:35 EST http://www.sec.gov/litigation/litreleases/2012/lr22580.htm SEC FILES CHARGES AGAINST TWO OTHERS IN NORTHERN CALIFORNIA FUND MANAGER’S $60 MILLION SCHEME LR-22580 Wed, 26 Dec 2012 13:04:07 EST http://www.sec.gov/litigation/litreleases/2012/lr22579.htm SEC CHARGES FOUR PENNY STOCK PURCHASERS WITH FRAUD LR-22579 Wed, 26 Dec 2012 11:11:41 EST http://www.sec.gov/litigation/litreleases/2012/lr22578.htm SEC Charges Former Chairman of Board In Connection With A Fraudulent Plan To Evade The Beneficial Ownership Reporting Requirements LR-22578 Fri, 21 Dec 2012 12:42:07 EST http://www.sec.gov/litigation/litreleases/2012/lr22577.htm SEC SETTLES PENDING CIVIL FRAUD CHARGES AGAINST THREE FORMER EXECUTIVES OF ENRON BROADBAND SERVICES LR-22577 Thu, 20 Dec 2012 16:51:42 EST http://www.sec.gov/litigation/litreleases/2012/lr22576.htm SEC FILES SETTLED FCPA CHARGES AGAINST ELI LILLY AND COMPANY LR-22576 Thu, 20 Dec 2012 15:51:42 EST http://www.sec.gov/litigation/litreleases/2012/lr22575.htm SEC Charges TheStreet, Inc. and Former Executives In Connection With Accounting Fraud LR-22575 Tue, 18 Dec 2012 15:45:27 EST http://www.sec.gov/litigation/litreleases/2012/lr22574.htm SEC Charges Company based in Massachusetts and Canada and Other Parties in Stock Pump-and-Dump Scheme Involving Fictitious Buyout Offer LR-22574 Mon, 17 Dec 2012 13:01:27 EST http://www.sec.gov/litigation/litreleases/2012/lr22573.htm SEC CHARGES SANTA MONICA-BASED HEDGE FUND MANAGER IN CHERRY-PICKING SCHEME LR-22573 Mon, 17 Dec 2012 05:01:27 EST http://www.sec.gov/litigation/litreleases/2012/lr22572.htm SEC Charges Massachusetts Company, CEO and Promoters With $9 Million Securities Fraud. LR-22572 Fri, 14 Dec 2012 12:40:47 EST http://www.sec.gov/litigation/litreleases/2012/lr22571.htm Defendant in SEC Enforcement Action Sentenced and Ordered to Pay Restitution. LR-22571 Fri, 14 Dec 2012 11:17:47 EST http://www.sec.gov/litigation/litreleases/2012/lr22570.htm Court Enters Final Judgment Against Massachusetts Investment Adviser and its Principal, Orders Payment of Over $1.7 Million in Illicit Gains and Penalties. LR-22570 Fri, 14 Dec 2012 10:37:47 EST http://www.sec.gov/litigation/litreleases/2012/lr22569.htm The Securities and Exchange Commission today charged the manager of two New York-based hedge funds with conducting a pair of trading schemes involving Chinese bank stocks and making $16.7 million in illicit profits. LR-22569 Thu, 13 Dec 2012 18:07:47 EST http://www.sec.gov/litigation/litreleases/2012/lr22568.htm SEC CHARGES U.S. BASED CONSULTANTS TO NUMEROUS CHINESE REVERSE MERGER COMPANIES WITH SECURITIES FRAUD LR-22568 Wed, 12 Dec 2012 10:17:05 EST http://www.sec.gov/litigation/litreleases/2012/lr22567.htm SEC CHARGES NEW YORK-BASED FUND MANAGER WITH TWO WIDESPREAD FRAUDULENT TRADING SCHEMES SPANNING NEARLY FOUR YEARS LR-22567 Tue, 11 Dec 2012 18:57:24 EST http://www.sec.gov/litigation/litreleases/2012/lr22566.htm SEC CHARGES OIL AND GAS COMPANY AND PRINCIPAL WITH OFFERING FRAUD LR-22566 Tue, 11 Dec 2012 15:20:59 EST http://www.sec.gov/litigation/litreleases/2012/lr22565.htm COURT ENTERS FINAL JUDGMENTS ORDERING DWIGHT FLATT AND DAVID DELLA SCIUCCA, JR. TO PAY DISGORGEMENT, PREJUDGMENT INTEREST AND CIVIL PENALTIES LR-22565 Tue, 11 Dec 2012 08:37:07 EST http://www.sec.gov/litigation/litreleases/2012/lr22564.htm COURT ENTERS FINAL JUDGMENTS BY CONSENT AGAINST SEC DEFENDANTS ERIC TODD SEIDEN AND KAMAL ABDALLAH LR-22564 Fri, 7 Dec 2012 17:50:50 EST http://www.sec.gov/litigation/litreleases/2012/lr22563.htm The Securities and Exchange Commission filed a civil action in the United States District Court for the Southern District of Florida against InnoVida Holdings LLC, its former CEO Claudio Osorio and its former CFO Craig Toll, CPA, charging them with defrauding investors in an offering fraud scheme. LR-22563 Fri, 7 Dec 2012 15:37:07 EST http://www.sec.gov/litigation/litreleases/2012/lr22562.htm SEC Charges Florida-Based Lawyer with Forging Attorney Opinion Letters for Microcap Stocks LR-22562 Fri, 7 Dec 2012 13:54:30 EST http://www.sec.gov/litigation/litreleases/2012/lr22561.htm SEC SECURES TRIAL VICTORY AND OBTAINS OVER $2.1 MILLION IN DISGORGEMENT AND PENALTIES IN MARKET MANIPULATION CASE LR-22561 Thu, 6 Dec 2012 17:28:18 EST http://www.sec.gov/litigation/litreleases/2012/lr22560.htm SEC CHARGES 10 IN INSIDER TRADING RING AROUND INVESTMENT BANKER’S ILLEGAL TIPS ON IMPENDING MERGERS LR-22560 Thu, 6 Dec 2012 14:10:22 EST http://www.sec.gov/litigation/litreleases/2012/lr22559.htm COURT ENTERS FINAL JUDGMENT BY DEFAULT AGAINST SEC DEFENDANT JOHN ZANIC LR-22559 Thu, 6 Dec 2012 14:10:22 EST http://www.sec.gov/litigation/litreleases/2012/lr22558.htm Defendant in SEC Action Pleads Guilty to Criminal Charges and is Barred from the Securities Industry LR-22558 Tue, 4 Dec 2012 13:09:38 EST http://www.sec.gov/litigation/litreleases/2012/lr22557.htm FORMER FAIR FINANCE COMPANY CEO SENTENCED TO 50 YEARS IN PRISON FOR CONDUCTING $200 MILLION FRAUD SCHEME LR-22557 Mon, 3 Dec 2012 17:32:30 EST http://www.sec.gov/litigation/litreleases/2012/lr22556.htm COURT ENTERS FINAL JUDGMENT AGAINST SEC DEFENDANTS CHRISTOPHER W. BASS AND HIS COMPANIES LR-22556 Mon, 3 Dec 2012 13:56:22 EST http://www.sec.gov/litigation/litreleases/2012/lr22555.htm The Securities and Exchange Commission announced today that the Honorable James D. Whittemore, United States District Judge for the Middle District of Florida in Tampa has entered final judgment against defendant Joseph P. Cillo of Dade City, Florida. LR-22555 Fri, 30 Nov 2012 17:49:24 EST http://www.sec.gov/litigation/litreleases/2012/lr22554.htm BRAZILIAN EX-BANKER TO PAY $5.1 MILLION FOR INSIDER TRADING IN BURGER KING STOCK LR-22554 Fri, 30 Nov 2012 17:49:24 EST http://www.sec.gov/litigation/litreleases/2012/lr22553.htm SEC Charges Westport, Connecticut Resident with Insider Trading in the Shares of Patriot Capital Funding, Inc. LR-22553 Fri, 30 Nov 2012 13:32:18 EST http://www.sec.gov/litigation/litreleases/2012/lr22552.htm SEC FILES FRAUD CHARGES AGAINST CHINA NORTH EAST PETROLEUM HOLDINGS LIMITED; ITS CEO, PRESIDENT AND FORMER CHAIRMAN; ITS FOUNDER AND FORMER DIRECTOR; AND ITS VICE PRESIDENT AND SECRETARY LR-22552 Fri, 30 Nov 2012 13:32:18 EST http://www.sec.gov/litigation/litreleases/2012/lr22551.htm SEC OBTAINS FINAL JUDGMENTS IN CASE INVOLVING PONZI SCHEME AND PROMOTION OF CHINA VOICE HOLDING CORP. LR-22551 Fri, 30 Nov 2012 13:32:18 EST http://www.sec.gov/litigation/litreleases/2012/lr22550.htm On November 29, 2012, the Securities and Exchange Commission charged John H. Pamplin, Jr. of Nashville, Tennessee with insider trading in the securities of TurboChef Technologies, Inc. (TurboChef). LR-22550 Thu, 29 Nov 2012 17:57:27 EST http://www.sec.gov/litigation/litreleases/2012/lr22549.htm SEC CHARGES TWO BROKERS WITH INSIDER TRADING AHEAD OF IBM-SPSS MERGER FOR $1 MILLION PROFIT LR-22549 Thu, 29 Nov 2012 17:57:27 EST http://www.sec.gov/litigation/litreleases/2012/lr22548.htm SEC CHARGES CHICAGO-BASED INVESTMENT ADVISER WITH DEFRAUDING INVESTORS IN FAILING PRIVATE EQUITY FUND LR-22548 Thu, 29 Nov 2012 13:41:20 EST http://www.sec.gov/litigation/litreleases/2012/lr22547.htm SEC Charges Oil Company CEO as Source in Insider Trading Case LR-22547 Wed, 28 Nov 2012 17:05:51 EST http://www.sec.gov/litigation/litreleases/2012/lr22546.htm Jury Returns Verdict of Liability Against Massachusetts Investment Adviser and his Advisory Firm LR-22546 Tue, 27 Nov 2012 11:57:24 EST http://www.sec.gov/litigation/litreleases/2012/lr22545.htm Court Orders Asset Freeze and Appointment of a Receiver in SEC Action Charging Hedge Fund Adviser and Its Principal with Securities Fraud LR-22545 Mon, 26 Nov 2012 17:14:42 EST http://www.sec.gov/litigation/litreleases/2012/lr22544.htm COURT ENTERS FINAL JUDGMENTS BY CONSENT AGAINST SEC DEFENDANTS PANTERA PETROLEUM, INC. AND BOZIDAR "BOB" VUKOVICH LR-22544 Mon, 26 Nov 2012 13:45:22 EST http://www.sec.gov/litigation/litreleases/2012/lr22543.htm SEC Settles with Former Integral Systems Chief Financial Officer Charged with Securities Fraud LR-22543 Mon, 26 Nov 2012 13:45:22 EST http://www.sec.gov/litigation/litreleases/2012/lr22542.htm Attorney Virginia K. Sourlis Found Liable for Aiding and Abetting Securities Fraud by Issuing False Legal Opinion in Connection with Illegal Stock Offering LR-22542 Mon, 26 Nov 2012 11:28:21 EST http://www.sec.gov/litigation/litreleases/2012/lr22541.htm Brian Stoker Found Not Liable LR-22541 Wed, 21 Nov 2012 15:25:13 EST http://www.sec.gov/litigation/litreleases/2012/lr22540.htm District Court Dismisses Action Against Edward S. Steffelin LR-22540 Wed, 21 Nov 2012 15:25:13 EST http://www.sec.gov/litigation/litreleases/2012/lr22539.htm The Securities and Exchange Commission today charged Stamford, Conn.-based hedge fund advisory firm CR Intrinsic Investors LLC and its former portfolio manager along with a medical consultant for an expert network firm for their roles in a $276 million insider trading scheme involving a clinical trial for an Alzheimer's drug being jointly developed by two pharmaceutical companies. LR-22539 Wed, 21 Nov 2012 07:50:12 EST http://www.sec.gov/litigation/litreleases/2012/lr22538.htm COURT FINES CEO CHRISTOPHER METCALF $50,000 AND IMPOSES A PENNY STOCK BAR AND OFFICER AND DIRECTOR BAR AGAINST HIM LR-22538 Tue, 20 Nov 2012 14:31:53 EST http://www.sec.gov/litigation/litreleases/2012/lr22537.htm SEC CHARGES MICHIGAN BUSINESSMAN DEFRAUDED INVESTORS IN REAL ESTATE INVESTMENT SCHEME LR-22537 Tue, 20 Nov 2012 13:40:54 EST http://www.sec.gov/litigation/litreleases/2012/lr22536.htm FORMER EXECUTIVE OF MASSACHUSETTS-BASED COMPANY FOUND GUILTY OF SECURITIES FRAUD LR-22536 Tue, 20 Nov 2012 11:42:22 EST http://www.sec.gov/litigation/litreleases/2012/lr22535.htm SEC CHARGES RING OF HIGH SCHOOL BUDDIES WITH INSIDER TRADING IN HEALTH CARE STOCKS LR-22535 Mon, 19 Nov 2012 17:37:39 EST http://www.sec.gov/litigation/litreleases/2012/lr22534.htm SEC CHARGES NEW YORK-BASED FRAUDSTER WHO SPENT INVESTOR FUNDS ON DRUGS AND GAMBLING LR-22534 Mon, 19 Nov 2012 17:37:39 EST http://www.sec.gov/litigation/litreleases/2012/lr22533.htm SEC CHARGES J.P. MORGAN SECURITIES LLC WITH MISLEADING INVESTORS IN RMBS OFFERINGS LR-22533 Fri, 16 Nov 2012 16:28:58 EST http://www.sec.gov/litigation/litreleases/2012/lr22532.htm COURT ENTERS FINAL JUDGMENT BY CONSENT AGAINST SEC DEFENDANT BRUCE GROSSMAN LR-22532 Fri, 16 Nov 2012 14:53:12 EST http://www.sec.gov/litigation/litreleases/2012/lr22531.htm BP TO PAY $525 MILLION PENALTY TO SETTLE SEC CHARGES OF SECURITIES FRAUD DURING DEEPWATER HORIZON OIL SPILL LR-22531 Thu, 15 Nov 2012 14:00:43 EST http://www.sec.gov/litigation/litreleases/2012/lr22530.htm SEC CHARGES MIAMI-BASED ADVISER WITH HIDING TRADING LOSSES AND DIVERTING CLIENT FUNDS LR-22530 Fri, 9 Nov 2012 17:05:17 EST http://www.sec.gov/litigation/litreleases/2012/lr22529.htm SEC Charges Former Officers and Auditor of Electronic Game Card, Inc. with Fraud LR-22529 Fri, 9 Nov 2012 14:36:14 EST http://www.sec.gov/litigation/litreleases/2012/lr22528.htm SEC Charges South Florida Man with Recruiting Victims of Ponzi Scheme LR-22528 Fri, 9 Nov 2012 11:29:44 EST http://www.sec.gov/litigation/litreleases/2012/lr22527.htm The Securities and Exchange Commission today announced that it has finalized its settlement with Aamer Abdullah, formerly a portfolio manager at New York-based investment advisory firm ICP Asset Management, LLC (ICP). LR-22527 Fri, 9 Nov 2012 10:42:10 EST http://www.sec.gov/litigation/litreleases/2012/lr22526.htm SEC Charges Purported Credit Union and Its Principal with Offering Fraud LR-22526 Thu, 8 Nov 2012 15:40:03 EST http://www.sec.gov/litigation/litreleases/2012/lr22521.htm SEC Charges Medlink International and Two Executives with Fraudulent Filing LR-22521 Wed, 7 Nov 2012 14:16:28 EST http://www.sec.gov/litigation/litreleases/2012/lr22525.htm Commission Files Subpoena Enforcement Action Against Adam Bielski LR-22525 Thu, 1 Nov 2012 15:34:07 EDT http://www.sec.gov/litigation/litreleases/2012/lr22524.htm Former Deloitte Partner Sentenced to 21 Months for Insider Trading LR-22524 Wed, 31 Oct 2012 11:25:46 EDT http://www.sec.gov/litigation/litreleases/2012/lr22523.htm Former Silicon Valley Executive to Pay $1.75 Million to Settle Insider Trading Charges LR-22523 Mon, 29 Oct 2012 09:00:12 EDT http://www.sec.gov/litigation/litreleases/2012/lr22522.htm SEC Charges Denver-Based Insurance Executive With Insider Trading LR-22522 Mon, 29 Oct 2012 09:00:12 EDT http://www.sec.gov/litigation/litreleases/2012/lr22520.htm On October 24, 2012, the Securities and Exchange Commission charged Michael Johnson, a divisional merchandise manager at Kohl's, which is a national department store. LR-22520 Fri, 26 Oct 2012 11:51:12 EDT http://www.sec.gov/litigation/litreleases/2012/lr22519.htm SEC CHARGES FORMER J.CREW EXECUTIVE WITH INSIDER TRADING LR-22519 Thu, 25 Oct 2012 11:58:24 EDT http://www.sec.gov/litigation/litreleases/2012/lr22518.htm SEC Charges Two in Michigan-based Fraudulent Securities Offering LR-22518 Tue, 23 Oct 2012 11:07:59 EDT http://www.sec.gov/litigation/litreleases/2012/lr22517.htm On October 18, 2012, the Securities and Exchange Commission charged Joseph Pacifico, a former President of Carter's, Inc., the Atlanta-based marketer of children's clothing, for engaging in financial fraud at Carter's. LR-22517 Fri, 19 Oct 2012 16:23:12 EDT http://www.sec.gov/litigation/litreleases/2012/lr22516.htm On October 17, 2012, the United States Securities and Exchange Commission filed an amended complaint naming Alena Dubinsky as a relief defendant in its pending civil injunctive action before the United States District Court for the Southern District of New York. The action stems from the hijacking of defunct or inactive publicly-traded companies and the unregistered offer and sale of securities. The amended complaint alleges that Dubinsky, a resident of Ontario, Canada, opened bank and brokerage accounts in Toronto at the behest of certain defendants through which were effected unregistered sales of securities and the deposit of at least $1 million in illicit proceeds. The Commission is seeking disgorgement. LR-22516 Fri, 19 Oct 2012 12:57:33 EDT http://www.sec.gov/litigation/litreleases/2012/lr22515.htm Hong Kong Firm to Pay $14 Million to Settle Insider Trading Charges LR-22515 Fri, 19 Oct 2012 12:57:33 EDT http://www.sec.gov/litigation/litreleases/2012/lr22514.htm SEC CHARGES THREE INDIVIDUALS FOR THEIR ROLES IN A $5.77 MILLION INVESTMENT SCHEME LR-22514 Thu, 18 Oct 2012 17:46:32 EDT http://www.sec.gov/litigation/litreleases/2012/lr22513.htm District Court Orders More Than $3 Million In Remedies, Grants Motions For Disgorgement, Civil Penalties and Officer-And-Director Bars Against Timothy Huff, Lawrence Lynch, Joseph J. Monterosso, Luis Vargas LR-22513 Thu, 18 Oct 2012 16:28:12 EDT http://www.sec.gov/litigation/litreleases/2012/lr22512.htm Defendant in SEC Action Charged by United States Attorney’s Office for the District of Massachusetts LR-22512 Thu, 18 Oct 2012 16:28:12 EDT http://www.sec.gov/litigation/litreleases/2012/lr22511.htm SEC Charges Arizona Man With Acting As An Unregistered Broker and Unlawful Touting LR-22511 Wed, 17 Oct 2012 14:49:21 EDT http://www.sec.gov/litigation/litreleases/2012/lr22510.htm SEC Charges Hedge Fund Adviser and Two Executives with Fraud LR-22510 Wed, 17 Oct 2012 14:49:21 EDT http://www.sec.gov/litigation/litreleases/2012/lr22509a.htm SEC Charges Unlicensed Financial Advisor James S. Quay for Defrauding Investors in Atlanta Area LR-22509A Mon, 15 Oct 2012 11:15:20 EDT http://www.sec.gov/litigation/litreleases/2012/lr22508.htm All Know Holdings Ltd., et al. LR-22508 Fri, 12 Oct 2012 10:20:39 EDT http://www.sec.gov/litigation/litreleases/2012/lr22507.htm Defendant James L. Douglas A/K/A James L. Cooper Held in Civil Contempt after Failing to Comply With Judgment LR-22507 Fri, 12 Oct 2012 09:49:11 EDT http://www.sec.gov/litigation/litreleases/2012/lr22506.htm SEC Charges Unlicensed Financial Advisor James S. Quay for Defrauding Investors in Atlanta Area LR-22506 Thu, 4 Oct 2012 12:29:02 EDT http://www.sec.gov/litigation/litreleases/2012/lr22505.htm SEC CHARGES SAN FRANCISCO INVESTMENT ADVISER AND ITS OWNER FOR FRAUD LR-22505 Thu, 4 Oct 2012 12:13:46 EDT http://www.sec.gov/litigation/litreleases/2012/lr22504.htm SEC CHARGES CHICAGO-BASED INVESTMENT ADVISER AND ITS OWNERS FOR FRAUD LR-22504 Wed, 3 Oct 2012 16:05:12 EDT http://www.sec.gov/litigation/litreleases/2012/lr22503.htm The Securities and Exchange Commission today announced it has obtained an emergency court order to freeze the assets of a South Florida man who has been charged with fraudulently offering investments in oil drilling projects. LR-22503 Wed, 3 Oct 2012 15:52:06 EDT http://www.sec.gov/litigation/litreleases/2012/lr22502.htm FORMER INDYMAC CEO AGREES TO SETTLE IN SEC LITIGATION LR-22502 Mon, 1 Oct 2012 13:51:10 EDT http://www.sec.gov/litigation/litreleases/2012/lr22501.htm SEC Charges Three for Their Roles in Manipulating the Market for Sunrise Solar Corporation Stock LR-22501 Mon, 1 Oct 2012 11:35:16 EDT