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Enforcement Actions: Week in Review - April 11th, 2014

(Apr 2014)

SEC ENFORCEMENT ACTIONS

SEC Charges Carter's, Inc.'s Former Vice-President of Operations with Insider Trading and Tipping
April 10, 2014, (Litigation Release No. 22970)
Richard T. Posey,former Vice-President of Carter's, Inc., has been charged with trading "based on inside information that he possessed as a result of his position at Carter's, and...tip[ping] material nonpublic information to the company's former Vice-President and Director of Investor Relations, Eric M. Martin." Posey...

Enforcement Actions: Week in Review - March 21st, 2014

(Mar 2014)

SEC ENFORCEMENT ACTIONS

Manager of Pre-IPO Investment Funds Settles Fraud Claims
March 20, 2014, (Litigation Release No. 22949)
Frank Mazzola,brokerage firm Felix Investments, LLC, and investment adviserFacie Libre Management, Associates, LLC, have been charged with defrauding "investors in funds created to purchase shares of Facebook, Twitter, and other technology companies prior to their initial public offerings." According to the SEC, Mazzola and Felix Investments "arranged to be...

SEC Litigation Releases: Week in Review - February 7th, 2014

(Feb 2014)

Court of Appeals Denies Stay of Order Compelling Investigative Testimony; Affirms District Court's Exercise of Discretion
February 6, 2014, (Litigation Release No. 22920)
This week the court issued a "summary order denying Edward Daspin's motion for a stay" on a December 2013 order. This means that Daspin is required "to appear for investigative testimony in compliance with an SEC investigative subpoena" and was denied a "request that the SEC be required to pay for Daspin's physician to attend...

2013 SEC Enforcement Summary

(Dec 2013)

A couple months ago, we provided an analysis of SEC activity as represented by litigation releases. In that post, we commented on the breakdown of SEC litigation releases over time, aggregated by month and weekday. Recently, the SEC has released their enforcement statistics updated for the 2013 fiscal year.

All told, the SEC obtained monetary sanctions of more than $3.4 billion (including disgorgement and penalties) over the 2013 fiscal year. This number represents a nearly 11% increase year...

SEC Litigation Releases: Week in Review (Part II) - October 4th, 2013

(Oct 2013)

SEC Obtains Asset Freeze and Other Emergency Relief in Ponzi Scheme Targeting Investors in Japan
October 3, 2013, (Litigation Release No. 22832)
The SEC was granted a temporary restraining order, asset freeze and other emergency relief againstEdwin Yoshihiro Fujinaga and his company MRI International, Inc.. Fujinaga allegedly raised more than $800 million from investors through MRI, an allegedly "fraudulent Ponzi scheme designed to misappropriate money from investors. "The defendants...

SEC Litigation Releases: Week in Review - July 12th, 2013

(Jul 2013)

Serial Fraudster Matthew J. Gagnon Sentenced to Five Years in Prison
July 11, 2013, (Litigation Release No. 22749)
This week Matthew J. Gagnon was sentenced to "five years of incarceration followed by three years of supervised release and ordered...to pay over $4.4 million in restitution to his victims." Gagnon had pleaded guilty to "one count of criminal securities fraud for promoting a securities offering without fully disclosing the amount of his compensation in connection with his...

SEC Litigation Releases: Week in Review - March 22nd, 2013

(Mar 2013)

Fake Hedge Fund Manager Sentenced to 40 Months in Prison
March 20, 2013, (Litigation Release No. 22655)
Andrey C. Hicks was sentenced to "40 months in prison in connection with criminal charges...[of] committing wire fraud, attempting to commit wire fraud, and aiding and abetting wire fraud." Hicks was also "ordered to pay $2.3 million in restitution." In 2011, the SEC charged Hicks and his investment advisory firm, Locust Offshore Management, LLC, "with misleading prospective investors about...

SEC Litigation Releases: Week in Review - March 15th, 2013

(Mar 2013)

Court Orders Former Prudential Securities Broker to Pay Over $763,000 Related to Deceptive Mutual Fund Market Timing Practices
March 13, 2013, (Litigation Release No. 22643)
A final judgment was entered against Frederick J. O'Meally, a former registered representative of broker-dealer Prudential Securities Inc, for allegedly using "deceptive practices to evade blocks by mutual fund companies on his market timing trading." The judgment orders O'Meally to pay over $763,000 in disgorgement,...

SEC Litigation Releases: Week in Review - January 4th, 2013

(Jan 2013)

SEC Charges California Company and CEO with Defrauding Investors in Nevada Gold Mining Venture
January 3, 2013, (Litigation Release No. 22585)
According to the complaint (opens to PDF), Nekekim Corporation and its CEO, Kenneth Carlton, "induced hundreds of investors to pour $16 million into a fruitless gold mining venture." From 2001 to 2011, the defendants attracted investors claiming that a physicist (who in reality "had no scientific training") helped "develop a confidential gold extraction...

SEC Litigation Releases: Week in Review - November 11th, 2012

(Nov 2012)

SEC Charges Purported Credit Union and Its Principal with Offering Fraud
November 8, 2012, (Litigation Release No. 22526)
The SEC filed a civil injunctive action against Stanley B. McDuffie and his entity, Jilapuhn, Inc (which has done business as Her Majesty's Credit Union) this week. According to the complaint (opens to PDF), from 2008 to 2012 McDuffie and HMCU enticed investors to purchase CDs "through the HMCU website and a branch office in the U.S. Virgin Islands," assuring investors that...

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