Tag: SEC Litigation Releases
Charles J. Dushek, et al.
SEC Charges Chicago-Area Father and Son Conducting Cherry-Picking Scheme At Investment Firm
Category: SEC Litigations
Robert Fowler and US Capital Funding II Series Trust 1, Inc. a/k/a US Capital Investments II (HK) Limited
SEC Charges Resident in the Atlanta Area and His Firm with Fraud in Connection with Prime Bank Scheme
Category: SEC Litigations
RINO INTERNATIONAL CORPORATION, DEJUN “DAVID” ZOU, AND JIANPING “AMY” QIU
SEC Charges Rino, Its Ceo, and Its Chairman of the Board with Scheme to Overstate Revenues and Divert Money for Personal Use
Category: SEC Litigations
Subaye, Inc. and James T. Crane
SEC Charges China-Based Company and Former Chief Financial Officer in Fraudulent Scheme Involving Non-Existent Computing Business
Category: SEC Litigations
Grant Ivan Grieve, Finvest Asset Management, LLC, and Finvest Fund Management, LLC
Court Orders Former Hedge Fund Manager Gad Grieve and Firm to Pay Over $26 Million in Disgorgement and Penalties
Category: SEC Litigations
Steven Palladino, et al.
Commission Obtains Temporary Restraining Order and Asset Freeze Against Massachusetts Man Who Defrauded Investors of At Least $5.5 Million
Category: SEC Litigations
Adondakis et al.
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.
Category: SEC Litigations
City of Victorville, et al.
SEC Charges City of Victorville, Underwriter, and Others with Defrauding Municipal Bond Investors
Category: SEC Litigations
InnoVida Holdings LLC, et al.
District Court Enters Judgment of Permanent Injunction and Other Relief Against Defendant Innovida Holdings LLC.
Category: SEC Litigations
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