Securities and Exchange Commission v. Timothy J. Roth, et al., Civil Action No. 11-cv-02079 (C.D. Ill.) The Securities and Exchange Commission recently announced that on March 21, 2013, the Honorable Michael M. Mihm of the United States District Court for the Central District of Illinois entered a judgment against Timothy J. Roth (“Roth”), a former…
Continue reading ›Securities and Exchange Commission v. E-Monee.com, Inc. et al., Civil Action No. 0:13-cv-60637-WJZ (S.D. Fla) The Securities and Exchange Commission recently filed fraud charges against E-Monee.com, Inc. (“E-Monee”), its president, Estuardo Benavides (“Benavides”), and one of its directors and a licensed Florida attorney, Robert B. Cook (“Cook”), for offering shares in E-Monee to investors under…
Continue reading ›Securities and Exchange Commission v. Gregg D. Caplitz, et al., Civil Action No. 1:13-cv-10612-MLW (D.Mass.) SEC OBTAINS ASSET FREEZE AGAINST MASSACHUSETTS-BASED INVESTMENT ADVISER STEALING MONEY FROM CLIENTS The Securities and Exchange Commission recently announced an asset freeze against a Massachusetts-based investment adviser charged with stealing money from clients who were given the false impression they…
Continue reading ›Securities and Exchange Commission v. Carrillo Huettel LLP, Luis J. Carrillo, Wade D. Huettel, Gibraltar Global Securities, Warren Davis, John B. Kirk, Benjamin T. Kirk, Dylan L. Boyle, James K. Hinton Jr., Luniel de Beer, Joel P. Franklin, Pacific Blue Energy Corporation, Tradeshow Marketing Company Ltd., and Dr. Luis Carrillo, Civil Action No. 13 Civ.…
Continue reading ›Securities and Exchange Commission v. J.C. Reed & Company, Inc., J.C. Reed Advisory Group, LLC, Barron A. Mathis, and Estate of John C. Reed, Lana L. Reed, Executor, Civil Action No. Case No. 3:08-CV-1112 (M.D. Tn.) Court enters final judgment against Defendants The Securities and Exchange Commission (“Commission”) recently announced that the Honorable William J.…
Continue reading ›Securities and Exchange Commission v. J.C. Reed & Company, Inc., J.C. Reed Advisory Group, LLC, Barron A. Mathis, and Estate of John C. Reed, Lana L. Reed, Executor, Civil Action No. Case No. 3:08-CV-1112 (M.D. Tn.) Court enters final judgment against Defendants The Securities and Exchange Commission recently announced that the Honorable William J. Haynes,…
Continue reading ›Securities and Exchange Commission v. M. Mark McAdams and R. Dane Freeman, Civil Action No. Civil Action No. 4:10-CV-00701-TLW (D.S.C.) The Securities and Exchange Commission recently announced that the Honorable Terry L. Wooten, United States District Judge for the District of South Carolina, entered final judgments permanently enjoining M. Mark McAdams (“McAdams”) and R. Dane…
Continue reading ›Securities and Exchange Commission v. Scott I. Kupersmith, et al., Civil Action No. 11-cv-6277 (KSH) (D.N.J.) SEC OBTAINS FINAL JUDGMENT AGAINST SCOTT KUPERSMITH The Securities and Exchange Commission recently announced that on March 6, 2013, the Honorable Katharine S. Hayden of the United States District Court for the District of New Jersey entered a final…
Continue reading ›SEC Charges California-Based Lawyer with Issuing Fraudulent Legal Opinion Letters The Securities and Exchange Commission recently charged a California-based lawyer who has been fraudulently churning out baseless legal opinion letters for penny stocks through his website without researching and evaluating the individual stock offerings. Legal opinion letters are issued to transfer agents on behalf of…
Continue reading ›Securities and Exchange Commission v. Colin McCabe (D/B/A Elite Stock Report, The Stock Profiteer, and Resource Stock Advisor), Civil Action No. 2:13-cv-00161 Recently, the Securities and Exchange Commission filed a civil action in the United States District Court for the District of Utah charging Canadian stock promoter Colin McCabe with disseminating false and misleading information…
Continue reading ›
