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Displaying 41-50 out of 72 results for "Muni Arb".

SEC Litigation Releases: Week in Review - August 16th, 2013

(Aug 2013)

SEC Obtains Final Judgment Against Conrad M. Black
August 15, 2013, (Litigation Release No. 22781)
According to the complaint, Conrad M. Black, former Chief Executive Officer of Hollinger International, Inc., "fraudulently diverted money from Hollinger International to himself and other corporate insiders in the form of purported non-competition payments in the PMG Acquisition and Forum Communications Company newspaper sale transactions." Additionally, Black allegedly "made misstatements and...

SEC Litigation Releases: Week in Review - August 2nd, 2013

(Aug 2013)

SEC Obtains Preliminary Injunction in Binary Options Case
August 1, 2013, (Litigation Release No. 22767)
A preliminary injunction was entered against Banc de Binary Ltd. which enjoins it from offering or selling unregistered securities and acting as an unregistered broker. The SEC filed a complaint in June that charged Banc de Binary with "offering and selling binary options to investors across the U.S. without first registering the securities" and also acting as an unregistered broker. For...

SEC Litigation Releases: Week in Review - July 26th, 2013

(Jul 2013)

SEC Charges Former Portfolio Manager At SAC Capital with Insider Trading
July 25, 2013, (Litigation Release No. 22761)
This week the SEC charged Richard Lee, a former portfolio manager at SAC Capital Advisors, with insider trading "ahead of public announcements about a Microsoft-Yahoo partnership and the acquisition of 3Com Corporation by Hewlett-Packard." Lee's alleged insider trading caused "the S.A.C. Capital hedge fund that he managed to generate more than $1.5 million in illegal profits."...

SEC Litigation Releases: Week in Review - June 14th, 2013

(Jun 2013)

Former Yahoo Executive Settles SEC Insider Trading Case
June 12, 2013, (Litigation Release No. 22726)
A final judgment was entered against Robert W. Kwok, a former Senior Director of Business Management at Yahoo! Inc., for allegedly trading on nonpublic information "concerning Yahoo and Moldflow Corporation." According to the SEC, in April 2008 Kwok learned of an upcoming acquisition of Moldflow by Autodesk, Inc. from Reema Shah, "a former mutual fund and hedge fund portfolio manager at...

SEC Litigation Releases: Week in Review - May 24th, 2013

(May 2013)

SEC Charges Atlanta-Area Registered Representative and Registered Investment Adviser Representative with Securities Fraud
May 23, 2013, (Litigation Release No. 22706)
According to the complaint, since at least 2008 Blake Richards, "a registered representative of a broker dealer, misappropriated at least $2 million from at least seven investors." Allegedly, the "majority of the misappropriated funds constituted retirement savings and/or life insurance proceeds from deceased spouses." An order...

SEC Litigation Releases: Week in Review - May 3rd, 2013

(May 2013)

Commission Obtains Temporary Restraining Order and Asset Freeze Against Massachusetts Man Who Defrauded Investors of At Least $5.5 Million
May 1, 2013, (Litigation Release No. 22694)
Earlier this week, the SEC obtained an asset freeze and temporary restraining order on Steven Palladino and his MA-based Viking Financial Group, Inc. in which he served as owner, president and vice president at various times. According to the SEC's complaint, Viking Financial Group raised almost $5.5 million from...

SEC Litigation Releases: Week in Review - April 19th, 2013

(Apr 2013)

SEC Files Subpoena Enforcement Action Against Andrew Farmer and Iridium Capital, Ltd. for Failure To Produce Documents in Market Manipulation Investigation
April 18, 2013, (Litigation Release No. 22680)
Last week, the SEC filed a subpoena enforcement action against Andrew Farmer and Iridium Capital, Ltd. "According to the filing, the SEC is investigating possible market manipulation in connection with transactions in the securities of Chimera Energy Corporation." Subpoenas were issued last...

SEC Litigation Releases: Week in Review - March 29th, 2013

(Mar 2013)

SEC Charges California-Based Hedge Fund Analyst and Two Others with Insider Trading
March 26, 2013, (Litigation Release No. 22660)
Hedge fund analyst, Matthew Teeple, has been charged by the SEC for allegedly trading on material non-public information regarding Brocade Communication Systems Inc.'s 2008 acquisition of Foundry Networks, Inc. According to the SEC, Teeple received the information from Foundry's chief information officer, David Riley, and then caused the "hedge fund advisory firm...

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 1st, 2013

(Mar 2013)

Defendant Adam S. Rosengard Settles SEC Charges in Penny Stock Manipulation Case
February 27, 2013, (Litigation Release No. 22626)
A final judgment was entered this Monday against Adam S. Rosengard for his alleged involvement in a stock manipulation scheme. According to the SEC's original complaint, Pawel P. Dynkowski and other defendants manipulated the price of Xtreme Motorsports of California, Inc.'s stock through "wash sales, matched orders and other manipulative trading." Rosengard then...

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