SEC Litigation Releases

Tag: SEC Litigation Releases

David P. Godwin and Anthony G. Roth

SEC Charges Executives for Defrauding Investors in Financial Fraud Scheme

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Lee D. Weiss, et al.

The Securities and Exchange Commission Today Announced Fraud Charges Against a Registered Investment Adviser and Its Owner for Allegedly Engaging in Self-Dealing and Failing to Disclose Material Facts to Clients Regarding Conflicts of Interest, Use of Investor Funds, and the Risks of the Investments They Recommended.

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Jose G. Ramirez Jr.

The Securities and Exchange Commission Today Charged Jose G. Ramirez, Jr., a Former Top Broker At Ubs Financial Services Incorporated of Puerto Rico (“Ubspr”), Who Made Material Misrepresentations and Omissions and Orchestrated a Fraudulent Scheme Involving the Use of Credit Line Proceeds from a Ubspr-Affiliated Bank to Purchase Shares in Ubspr Affiliated Closed-End Mutual Funds.

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Robert L. Spallina, et al.

SEC Charges Five with Insider Trading, Including Two Attorneys and an Accountant

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Jill D. Cook and Mark C. Pierce

SEC Charges Trinity Capital Corporation and Former Bank Executives with Accounting Fraud

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Eldrick E. Woodley d/b/a Woodley & Co. Wealth Strategies

SEC Charges Houston Investment Adviser with Misappropriating Client Funds

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Hitachi Ltd.

The Securities and Exchange Commission today charged Tokyo-based conglomerate Hitachi, Ltd. with violating the Foreign Corrupt Practices Act (FCPA) when it inaccurately recorded improper payments to South Africa’s ruling political party in connection with contracts to build two multi-billion dollar power plants.

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Morando Berrettini, et al.

SEC Obtains Jury Verdict in Its Favor in Insider Trading Case Against Ralph J. Pirtle and Morando Berrettini

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iShopNoMarkup.com, Inc.

Court Imposes Over $5 Million in Monetary Relief, an Officer and Director Bar, and Permanent Injunctions Against Former Chairman of a Failed Internet Startup Who Committed Securities Fraud and IIIegally Sold Unregistered Securities

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Richard E. Gathright, et al.

SEC Charges Former Officers of SMF Energy Corporation with Fraud

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