Tag: SEC Litigation Releases

William E. Redmond, Jr., and Stefano Signorastri

SEC Charges CEO and Close Friend with Insider Trading Ahead of Company Sale

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Anthony J. Thompson, Jr., Jay Fung, and Eric Van Nguyen

SEC Charges Three Penny Stock Promoters Behind Pump-And-Dump Schemes

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Albert J. Scipione

SEC Charges Unregistered Broker in Tampa Area with Stealing from Investors in Fraudulent Day Trading Scheme

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Forum National Investments Ltd., et al.

SEC Charges Canadian Life Settlement Company in Pump-And-Dump Scheme

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Joseph A. Noel

SEC Charges San Francisco-Based Penny Stock Company CEO for Defrauding Investors in Pump-And-Dump Scheme

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CR Intrinsic Investors, LLC et al.

On November 14, 2014, the Securities and Exchange Commission Announced That It Had Filed a Motion Asking the Court to Establish an Approximately $602 Million Fair Fund for Investor Victims Pursuant to Section 308(a) of the Sarbanes-Oxley Act of 2002.

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Wilfred T. Azar, III, et al.

SEC Charges Business Owner and Stockbroker in Maryland-Based Offering Fraud

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J. Patrick O’Neill and Robert H. Bray

Boston-Area Defendant in SEC Insider Trading Case Faces Criminal Charges

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Eric W. Johnson

On November 5, 2014, the Securities and Exchange Commission Filed an Emergency Action Alleging That from At Least 2004 to the Present, Eric W. Johnson, of Hinsdale, Illinois, Misappropriated At Least $1 Million from Certain of His Advisory Clients.

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Richard Weed et al.

SEC Charges California Lawyer and Two Massachusetts Men Behind Scheme to Manipulate Stock of Sports Ticket Broker

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