Blog

Our experts frequently write blog posts about the findings of the research we are conducting.

Displaying 81-90 out of 174 results for "Weekly Regulatory Review".

SEC Litigation Releases: Week in Review - October 25th, 2013

(Oct 2013)

Jury Finds Mark Cuban Not Liable for Insider Trading
October 23, 2013, (Litigation Release No. 22855)
Last week, "a nine-person federal jury found Mark Cuban not liable for insider trading" in Mamma.com securities.

SEC Obtains Final Judgment Against New Jersey-Based Consultants to Chinese Reverse Merger Companies
October 23, 2013, (Litigation Release No. 22854)
A final judgment was entered against Huakang Zhou (a/k/a David Zhou) and Warner Technology and Investment Corporation for their alleged...

SEC Litigation Releases: Week in Review - October 18th, 2013

(Oct 2013)

Court Enters Final Judgment by Consent Against Defendant Ronald Baldwin, Jr.
October 17, 2013, (Litigation Release No. 22847)
A final judgment was entered against Ronald Baldwin, Jr., former CFO of JBI, Inc., for his alleged involvement in "a scheme to commit securities and accounting fraud in 2009." Previously, the SEC charged JBI, Inc. and its CEO, John Bordynuik for their alleged involvement in the scheme. Baldwin consented to the judgment which permanently enjoins him from future...

SEC Litigation Releases: Week in Review - October 11th, 2013

(Oct 2013)

Previously Unknown Insider Traders in Heinz Agree to $5 Million Settlement
October 10, 2013, (Litigation Release No. 22841)
According to the complaint, Rodrigo Terpins traded on nonpublic information concerning H.J. Heinz that he learned from his brother, Michel Terpins. Rodrigo Terpins made his trades through "a Cayman Islands-based entity named Alpine Swift that holds assets for one of their family members." The Terpins brothers and Alpine Swift, which was named as a relief defendant, have...

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 (Part I) - October 4th, 2013

(Oct 2013)

SEC Files Fraud Charges Against Universal Travel Group, Its Former CEO and Chair, Jiangping Jiang, and Its Former Director, Secretary and Interim CFO, Jing Xie
September 27, 2013, (Litigation Release No. 22823)
The SEC announced the filing of "fraud and related charges against Universal Travel Group, a China-based travel services company, its former CEO and Chair, Jiangping Jiang, and its former Director, Secretary and Interim CFO, Jing Xie." According to the SEC, Jiang and Xie "failed to...

SEC Litigation Releases: Week in Review - September 27th, 2013

(Sep 2013)

SEC Charges CEO of Video Game Company and Purported Consultant in Revenue Inflation Scheme
September 25, 2013, (Litigation Release No. 22813)
According to the complaint , in 2009 Troy Lyndon, CEO and CFO of Left Behind Games Inc, and his friend, Ronald Zaucha, schemed to "falsely inflate the company's revenue by nearly 1,300 percent in a one-year period through sham circular transactions." Left Behind Games "was founded in 2001 and touted itself as 'the only publicly-traded exclusive publisher...

SEC Litigation Releases: Week in Review - September 20th, 2013

(Sep 2013)

Court Enters Final Judgment by Consent Against SEC Defendant Roland Kaufmann
September 19, 2013, (Litigation Release No. 22802)
Yesterday the US District Court for the Eastern District of New York entered a final judgment against Roland Kaufman. The judgment bars Kaufman from participating in penny stock offerings and from serving as a director or officer of a public company. The judgment stems from a July 2012 SEC complaint that allegedAxius, Inc., Jean-Pierre Neuhaus, and Roland Kaufmann...

SEC Litigation Releases: Week in Review - September 13th, 2013

(Sep 2013)

SEC Charges Atlanta-Based Investment Adviser Representative with Securities Fraud
September 12, 2013, (Litigation Release No. 22797)
Earlier this week, the SEC chargedPaul Marshall, Bridge Securities, LLC, Bridge Equity, Inc. and FOGFuels, Inc. with misappropriation of client funds as well as violations of Securities Exchange Act of 1934, the Securities Act of 1933 and the Investment Advisers Act of 1940. The SEC alleges that over the past two years, Marshall has misappropriated "at least $2...

SEC Litigation Releases: Week in Review - September 6th, 2013

(Sep 2013)

SEC Charges Perpetrator of Fraudulent Free-Riding and Securities Offering Schemes
September 3, 2013, (Litigation Release No. 22791)
According to the complaint, Ronald Feldstein and his entities, Mara Capital Management LLC and Vita Health of America LLC, "engaged in illegal free-riding by purchasing stock" through broker-dealers to whom Feldstein portrayed himself as a money manager. The alleged "free-riding" scheme resulted in "over $2 million in losses" to the broker-dealers. Additionally,...

SEC Litigation Releases: Week in Review - August 30th, 2013

(Aug 2013)

SEC Charges Oklahoma Investment Adviser and Cohort with Fraud
August 27, 2013, (Litigation Release No. 22789)
According to the complaint, former investment adviser Larry J. Dearman, Sr. "invested his clients in various businesses that" his close friend, Marya Gray, "owned in Bartlesville, Oklahoma." According to the SEC, Dearman and Gray misled investors "about the safety of the investments and how their funds would be used, telling them, for instance, that investor funds would be used to...

174 Results

<
1
...
7
8
9
10
11
...
18
>