Articles Posted in SEC Enforcement Actions 2012

In The Matter Of Daniel Bogar, Bernerd E. Young, and Jason T. Green September, 2012: The Securities and Exchange Commission recently announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k)…

Securities and Exchange Commission v. 8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, Esq., Civil Action No. 12-CV-7261 (S.D.N.Y.) September, 2012: SEC Charges Company and its Two Principals and Attorney in Stock Manipulation Scheme The Securities and Exchange Commission recently announced the filing of an eforcement action, in federal court in…

SEC Charges Bank Executives in Nebraska With Understating Losses During Financial Crisis September, 2012: The Securities and Exchange Commission recently announced that it charged three former bank executives in Nebraska for participating in a scheme to understate millions of dollars in losses and mislead investors and federal regulators at the height of the financial crisis.…

SEC Charges N.Y.-Based Brokerage Firm With Layering September, 2012: The Securities and Exchange Commission recently announced that it charged a New York-based brokerage firm and three executives for allowing traders outside the U.S. to access the markets and conduct manipulative trading through accounts the firm controlled. The SEC’s investigation found that Hold Brothers On-Line Investment…

In the Matter of Prescient Capital Partners, Ltd. and Steven C. Young On September 24, 2012, the Commission issued an Order Instituting Cease-And-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, And Imposing Remedial Sanctions And a Cease-And-Desist Order (Order) against Prescient Capital Partners, Ltd. and Steven C. Young. The…

In the Matter of Roger L. Shoss, Esq. On September 24, 2012, the Commission issued an Order of Suspension Pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice (the “Order”) against Roger L. Shoss, Esq. (“Shoss”). The Order finds that Shoss is licensed as an attorney in Texas with an office in Houston, Texas.…

SEC Enforcement Action: In the Matter of Bradford Keith Dent On September 21, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 against Bradford Keith Dent. Dent was a registered representative with Carty & Company, a broker-dealer with offices in Memphis, Tennessee registered with…

SEC v. Rudolf D. Pameijer, et al., United States District Court for the Southern District of Indiana (Case No. 1:12-CV-01364) (S.D. In.) September, 2012: SEC CHARGES FOUR DEFENDANTS IN FRAUDULENT INVESTMENT SCHEME The Securities and Exchange Commission recently announced that it filed a complaint in the United States District Court for the Southern District of…

Securities and Exchange Commission v. Yusaf Jawed, Grifphon Asset Management, LLC, Grifphon Holdings, LLC, and Robert P. Custis, Civil Action No. 12-1696 (U.S. District Court for the District of Oregon, filed September 20, 2012) Securities and Exchange Commission v. Jacques Nichols, Civil Action No. 12-1698 (U.S. District Court for the District of Oregon, filed September…

SEC Charges Atlanta-Based Adviser with Operating Ponzi-Like Scheme Involving Private Investment Funds September, 2012: The Securities and Exchange Commission recently announced charges against a private fund manager and his Atlanta-based investment advisory firm for defrauding investors in a purported “fund-of-funds” and then trying to hide trading losses by creating new private funds to make money…