Articles Posted in SEC Enforcement Actions 2011

Investment and Securities Misrepresention and Fraud Litigation and FINRA Arbitration Lawyer, Russell L. Forkey, Esq. December, 2011: United States Securities Exchange Commission v. Richard Dalton and Universal Consulting Resources LLC, Defendants, and Marie Dalton, Relief Defendant, Civil Action No. 10-CV-02794-REB-KLM (D. Colo.) SEC RESOLVES FRAUD-BASED LAWSUIT AGAINST DENVER-AREA COMPANY AND ITS OWNER The Securities and…

Investment and Securities Fraud and Misrepresentation Litigation and FINRA Arbitration Lawyer, Russell L. Forkey, Esq. December, 2011: Securities and Exchange Commission v. Integrity Financial AZ, LLC, Steven R. Long, Stanley M. Paulic, Walter W. Knitter, and Robert C. Koeller Civil Action No. 10-CV-782 (SO) (N.D. Ohio filed Apr. 15, 2010) COURT ORDERS INTEGRITY FINANCIAL FOUNDERS…

Securities and Investment Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. December, 2011: Securities and Exchange Commission v. David Ronald Allen, et al. Civil Action No. 3:11-CV-882-O (N.D. Tex.) COURT ENTERS FINAL JUDGMENTS AGAINST CHINA VOICE HOLDING CORP. AND ITS FORMER CFO, DAVID RONALD ALLEN Recently, the Securities and Exchange Commission…

Penny Stock Fraud and Misrepresentation Federal and State Court Litigation Attorney, Russell L. Forkey, Esq. November, 2011: FEDERAL COURT ENTERS JUDGMENTS OF PERMANENT INJUNCTION AND OTHER RELIEF AGAINST DEFENDANTS CHRISTOPHER M. DUBEAU AND ATLANTIS TECHNOLOGY GROUP Securities and Exchange Commission v. Atlantis Technology Group and Christopher M. Dubeau, Civil Action No. 10-61824-CIV-ZLOCH (S.D. Fla.) The…

Unregistered Securities Fraud and Misrepresentation Litigation and FINRA Arbitration Lawyer, Russell L. Forkey, Esq. November, 2011: SEC v. Myron Weiner, Civil Action No. 11-CV-5731 (E.D.N.Y.) (DLI)(RER) SEC Charges Myron Weiner with Unregistered Sales of Spongetech Delivery Systems, Inc. Stock The Securities and Exchange Commission (SEC) filed a civil injunctive action against Myron Weiner, relating to…

Investment Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney, Russell L. Forkey, Esq. November, 2011: Securities and Exchange Commission v. Garfield Taylor, Inc., et al., Case No. 1:11CV02054 (D.D.C.) SEC CHARGES PERPETRATOR OF WASHINGTON-AREA PONZI SCHEME Recently, the Securities and Exchange Commission (SEC) charged a Bethesda, Md. man and several family members and friends with…

Investment and Fraud Litigation and FINRA Arbitration Attorney, Russell L. Forkey, Esq. November, 2011: SEC v. Brian Hollnagel and BCI Aircraft leasing, Inc., Civil Action No. 1:07-cv-4538 (N.D. Ill.) (Bucklo, J.) FORMER BROKER PLEADS GUILTY TO OBSTRUCTION OF JUSTICE IN CONNECTION WITH TWO SEC EXAMINATIONS The Securities and Exchange Commission (“Commission”) recently announced that Robert…

Investment Advisor Fraud and Mismanagement Litigation and FINRA Arbitration Attorney, Russell L. Forkey, Esq. November, 2011: Securities and Exchange Commission v. Patrick G. Rooney and Solaris Management, LLC, Case No. 1:11-cv-08264 (N.D. IL) SEC CHARGES ILLINOIS-BASED HEDGE FUND ADVISER AND ITS OWNER FOR FRAUDULENT CONDUCT The Securities and Exchange Commission (SEC) recently announced that it…

Unregistered Securities Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney, Russell L. Forkey, Esq. November, 2011: SEC v. Frank C. Calmes, Lynn D. Rowntree, James E. Pratt, and Manny J. Shulman, Case No. 09-80524-CIV0-ZLOCH (S.D. Fla. April 2, 2009) The Securities and Exchange Commission (SEC) recently announced that the United States District Court for the…

Securities Fraud and Misrepresentation Litigation Attorney, Russell L. Forkey, Esq. November, 2011: SEC Charges Philadelphia-Based Business Owner For Defrauding Investors Through an Offering Scheme Involving U.S. Treasury Strips The Securities and Exchange Commission recently filed a Complaint in United States District Court for the Southern District of New York charging Tyrone L. Gilliams and his…