Tag: SEC Litigation Releases

Kevin McGrath

On July 22, 2014, the Securities and Exchange Commission Charged a Partner At a New York-Based Investor Relations Firm with Insider Trading On Confidential Information He Learned About Two Clients While He Helped Prepare Their Press Releases.

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Cedric Canas Maillard, et al.

Spanish Trader Agrees to Pay Disgorgement and a Penalty to Settle Insider Trading Case

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Christopher Plummer, Lex M. Cowsert, and CytoGenix, Inc.

The Securities and Exchange Commission Today Charged a Serial Con Artist and a Penny Stock Company CEO with Misleading Investors in a Supposed Vaccine Development Company by Issuing False Press Releases Portraying It as a Successful Venture When It Was in Fact a Failing Enterprise.

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Abraxas J. Discala, Marc E. Wexler, Matthew A. Bell, Craig L. Josephberg, and Ira Shapiro

The Securities and Exchange Commission Today Charged Individuals Who Pocketed Millions of Dollars Running an Elaborate Pump-And-Dump Scheme Involving Shares of a Medical Education Company in Pennsylvania and Two Other Microcap Stocks.

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Bernard H. Butts, Jr., Fotios Geivelis, Jr., also known as Frank Anastasio, Worldwide Funding III Limited LLC, Douglas J. Anisky, Sidney…

Florida-Based Attorney Ordered to Pay Nearly $4 Million in Court Judgment of Prime Bank Investment Scheme Case

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Tyson D. Williams and Stanley D. Parrish

SEC Charges Tyson D. Williams and Stanley D. Parrish with Violations of the Federal Securities Laws

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Michael Affa, Andrew Affa, Mitchell Brown, Christopher Putnam, and Christopher Nix

SEC, Massachusetts U.S. Attorney, and FBI Charge Five with Attempted Manipulation of Microcap Company

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Eric McPhail, et al.

SEC Charges Group of Amateur Golfers in Insider Trading Ring

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Mark A. Jackson and James J. Ruehlen

SEC Settles Pending Civil Action Against Noble Executives Mark A. Jackson and James J. Ruehlen

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Bruce Alpert

Final Judgment of Dismissal by Consent Entered in SEC Action Involving Market Timing

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