finra

Actions Resulting from Referrals to Federal and State Authorities

2014-175Aug. 26, 2014SEC Charges Investor Relations Firm Executive With Insider Trading Ahead of News Announcements By Clients
2014-169Aug. 18, 2014SEC Charges Former Bank Executive and Friend With Insider Trading Ahead of Acquisition
2014-168Aug. 15, 2014SEC Announces Charges in Houston-Based Scheme Touting Technology to End Fracking
2014-166Aug. 14, 2014SEC Charges Atlanta-Based Accountant With Insider Trading on Confidential Information From Client
2014-159Aug. 5, 2014SEC Charges Four Promoters with Manipulating Marijuana-Related Stocks and Other Microcap Companies
34-72758Aug. 5, 2014 Green and Hill Industries, Inc.
See also Order
LR-23048Jul. 22, 2014Cedric Cañas Maillard, et al.
2014-142July 22, 2014SEC Charges Investor Relations Executive With Insider Trading While Preparing Clients’ Press Releases
2014-134July 11, 2014SEC Charges Group of Amateur Golfers in Insider Trading Ring
LR-23039Jul. 8, 2014John Babikian
LR-23024Jun. 17, 2014John Lazorchak, et al.
LR-23018Jun. 10, 2014Michael J. Baron
See also: SEC Complaint
LR-23004May 27, 2014Ronald L. Drewery
34-72232May 23, 2014Fortitude Group, Inc.
See also Order
2014-104May 22, 2014SEC Charges Vitamin Company's Former Board Member and Brothers With Insider Trading
2014-100May 19, 2014SEC Charges Two Clinical Drug Trial Doctors With Insider Trading
34-72162May 14, 2014Pingify International, Inc.
See also Order
2014-94May 12, 2014SEC Charges Three Sales Managers With Insider Trading Ahead of Major Acquisition
2014-93May 12, 2014Three Software Company Founders to Pay $5.8 Million to Settle Charges of Insider Trading Ahead of Sale
LR-22987May 7, 2014John Campani, John Mullin, and Alan Posner
34-72113May 7, 2014Cannabusiness Group, Inc.
See also Order
2014-85April 25, 2014SEC Charges Six Individuals With Insider Trading in Stock of E-Commerce Company Prior to Acquisition by eBay
2014-80April 21, 2014SEC Charges a Former Biopharmaceutical Company Executive and Two Others with Insider Trading
LR-22970Apr. 10, 2014Richard T. Posey
34-71924Apr. 10, 2014GrowLife, Inc.
See also Order
2014-65April 3, 2014SEC Charges Two Friends With Insider Trading Ahead of Impending Acquisition
LR-22957Mar. 31, 2014Tyrone Hawk
LR-22946Mar. 19, 2014David J. Canican
See also: SEC Complaint
2014-55March 19, 2014SEC Charges Stockbroker and Law Firm Managing Clerk in $5.6 Million Insider Trading Scheme
LR-22941Mar. 13, 2014Alexander H.G. Mascioli and North Street Capital, LP
See also: SEC Complaint
2014-52March 13, 2014SEC Obtains Asset Freeze Against Promoter Behind Microcap Stock Scalping Scheme
34-71660Mar. 7, 2014Global Earth Energy, Inc.
See also Order
2014-43March 5, 2014SEC Announces Largest Monetary Sanction for Rule 105 Short Selling Violations
2014-40Feb. 21, 2014SEC Charges Wall Street Investment Banker With Insider Trading in Former Girlfriend’s Account to Pay Child Support
34-71568Feb. 19, 2014Imogo Mobile Technologies, Corp.
See also Order
2014-26Feb. 11, 2014Two Hong Kong-Based Firms to Pay $11 Million for Insider Trading Ahead of Nexen Acquisition by Company in China
LR-22913Jan. 29, 2014Steven M. Dombrowski, Defendant, and Lisa L. Fox, Relief Defendant
See also: SEC Complaint
34-71397Jan. 27, 2014Olie, Inc. and Hi Score Corp.
See also Order
2014-10Jan. 15, 2014SEC Obtains Settlements in Penny Stock “Shell Packaging” Case
LR-22899Dec. 23, 2013David F. Marchand
LR-22892Dec. 18, 2013Randy A. Hamdan and Oracle Consultants, LLC
See also: SEC Complaint
LR-22891Dec. 16, 2013Arcturus Corporation, et al.
See also: SEC Complaint
34-71001Dec. 6, 2013Aden Solutions, Inc.
See also Order
LR-22882Dec. 3, 2013Charles Raymond Langston III, CRL Management, LLC, and Guarantee Reinsurance, Ltd
See also: SEC Complaint
LR-22870Nov. 14, 2013Mark Megalli
See also: SEC Complaint
2013-191Sept. 23, 2013SEC Charges Independent Filmmaker With Insider Trading
2013-188Sept. 20, 2013SEC Charges Advisory Firm Owner and Stockbroker With Insider Trading Ahead of Merger Announcement by Pharmaceutical Firms
LR-22790Sep. 3, 2013Phillip J. DeZwirek
See also: SEC Complaint
LR-22783August 19, 2013Timothy E. Cook, et al.
LR-22765July 31, 2013Gandy, et al.
See also: SEC Complaint
2013-138July 30, 2013SEC Charges Two Traders in Spain With Insider Trading Ahead of BHP Acquisition Bid
2013-135July 26, 2013SEC Charges Houston-Based Investor Relations Executive With Insider Trading in Stocks of Clients
2013-122July 3, 2013SEC Obtains Freeze On Proceeds from Unlawful Distribution of Biozoom Securities
2013-114Jun. 18, 2013SEC Charges San Diego-Based Promoter in Penny Stock Scheme
LR-22705May 22, 2013John Anthony Stilwell, Dr. Michael Curtis Moore, and Jillian Margaret Murphy
See also: SEC Complaint
LR-22700May 15, 2013Matthew C. Devlin, et al.
LR-22692Apr. 30, 2013A.L. Waters Capital, LLC, et al.
Press ReleaseApril 26, 2013Milton Man Sentenced to 17 Years for Orchestrating Large Ponzi Scheme and Massive Mail Fraud
LR-22683Apr. 23, 2013Gibraltar Global Securities Inc., and Warren A. Davis
See also: SEC Complaint
2013-66Apr. 22, 2013SEC Charges Former Executive with Insider Trading On Nonpublic Information Obtained as Part of Professional Group
2013-62Apr. 16, 2013SEC Charges Canada-Based Investment Banker with Insider Trading
Release No. 13-050April 15, 2013Ex-Stockbroker Arraigned on Charges of Orchestrating Series of Multi-Million Dollar Market Manipulation Stock Schemes
2013-58Apr. 11, 2013SEC Charges Former KPMG Partner and Friend with Insider Trading
2013-47Mar. 26, 2013SEC Charges California-Based Hedge Fund Analyst and Two Others with Insider Trading
Press ReleaseMar. 22, 2013David Levy and Donna Levy
See Also: U.S. v. David Levy, et al. S5 Indictment
LR-22659Mar. 22, 2013Juan Carlos Bertini
See also: SEC Complaint
2013-46Mar. 22, 2013SEC Charges Hedge Fund Manager and Brokerage CEO with Fraud
2013-41Mar. 15, 2013CR Intrinsic Agrees to Pay More than $600 Million in Largest-Ever Settlement for Insider Trading Case
2013-39Mar. 15, 2013SEC Charges San Diego Lawyers and Others in an International Market Manipulation Scheme
LR-22641Mar. 12, 2013Hunter
LR-22640Mar. 11, 2013Michael Dale Lackey
See also: SEC Complaint
2013-34Mar. 7, 2013SEC Charges California-Based Lawyer with Issuing Fraudulent Legal Opinion Letters
2013-25Feb. 21, 2013SEC Charges Virgin Islands-Based Investment Adviser with Defrauding Clients
34-68948Feb. 19, 2013VitaminSpice Inc.
See also Order
LR-22616Feb. 12, 2013Howard Brett Berger and Michelle Berger
LR-22612Feb. 6, 2013James Balchan
See also: SEC Complaint
LR-22606Jan. 30, 2013Blake R. Wellington and Daniel J. Vance
LR-22599Jan. 23, 2013Jonathan C. Gilchrist
See also: SEC Complaint
LR-22596Jan. 17, 2013John M. Darden III
See also: SEC Complaint
LR-22580Dec. 21, 2012GLR Capital Management, LLC, GLR Advisors, LLC, John A. Geringer, and Relief Defendant GLR Growth Fund, L.P.
2012-262Dec. 11, 2012SEC Charges New Jersey-Based Consultant to Chinese Reverse Merger Companies with Violating Securities Laws
2012-261Dec. 11, 2012SEC Charges New York-Based Fund Manager with Conducting Fraudulent Trading Schemes
2012-255Dec. 5, 2012SEC Charges 10 in Insider Trading Ring Around Investment Banker's Illegal Tips on Impending Mergers
2012-248Nov. 30, 2012Brazilian Ex-Banker to Pay $5.1 Million for Insider Trading in Burger King Stock
2012-247Nov. 30, 2012SEC Charges Connecticut-Based Business Executive with Insider Trading During Bidding Process
LR-22537Nov. 20, 2012Joel I. Wilson et al.
See also: SEC Complaint
2012-237Nov. 20, 2012SEC Charges Hedge Fund Firm CR Intrinsic and Two Others in $276 Million Insider Trading Scheme Involving Alzheimer's Drug
2012-234Nov. 19, 2012SEC Charges Ring of High School Buddies with Insider Trading in Health Care Stocks
LR-22519Oct. 25, 2012Frank A. LoBue
See also: SEC Complaint
LR-22512Oct. 18, 2012A.L. Waters Capital, LLC, et al.
2012-212Oct. 18, 2012Hong Kong Firm to Pay $14 Million to Settle Insider Trading Charges
LR-22505Oct. 4, 2012Lion Capital Management, LLC and Hausmann-Alain Banet
See also: SEC Complaint
LR-22497Sep. 27, 2012Jauyo ("Jason") Lee and Victor Chen
See also: SEC Complaint
LR-22495Sep. 27, 20128000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, Esq.
See also: SEC Complaint
2012-195Sep. 20, 2012SEC Freezes Assets of Insider Trader in Burger King Stock
2012-193Sep. 20, 2012SEC Charges Three in North Carolina With Insider Trading
2012-179Sept. 5, 2012SEC Charges Public Relations Executive With Insider Trading in Client's Stock
2012-167Aug. 28, 2012SEC Charges Eight in Georgia-Based Insider Trading Ring
LR-22455Aug. 21, 2012SEC Charges Former Array BioPharma Manager For Insider Trading
See also: SEC Complaint
LR-22444Aug. 10, 2012SEC Charges Participants in $5 Million Boiler Room Scheme
See also: SEC Complaint
LR-22434Aug. 3, 2012SEC Charges Massachusetts Resident with Insider Trading in Art Technology, Inc.
See also: SEC Complaint
LR-22430Jul. 30, 2012Siris, et al. and Hu, et al.
See also: Complaint Against Peter Siris et al. and Complaint Against Alan Sheinwald et al.
2012-145Jul. 27, 2012SEC Freezes Assets of Insider Traders in Nexen Acquisition
2012-143Jul. 25, 2012SEC Charges Close Friend of Staffing Company CEO with Insider Trading Around Acquisition
LR-22413Jul. 10, 2012Apparao Mukkamala, Suresh Anne, Jitendra Prasad Katneni, Mallikarjunarao Anne, and Rao A.K. Yalamanchili
See also: SEC Complaint
2012-101May 24, 2012May 24, 2012
LR-22375May 24, 2012GLR Capital Management, LLC, GLR Advisors, LLC, Geringer, Luck & Rode LLC, John A. Geringer, and Relief Defendant GLR Growth Fund, L.P.
See also: SEC Complaint
2012-89May 9, 2012SEC Charges New York Man With Manipulating Biopharmaceutical Stocks and Conducting Unregistered Sales of Securities
LR-22360AMay 8, 2012Mohammed Mark Amin, Robert Reza Amin, Michael Mahmood Amin, Sam Saeed Pirnazar, Mary Teresa Coley, and Ali Tashakori
2012-84May 7, 2012SEC Charges Montana-Based Paralegal and Her Father in Insider Trading Scheme
LR-22357May 7, 2012Angela Milliard et al.
See also: SEC Complaint
LR-22356May 4, 2012A.L. Waters Capital, LLC, et al.
2012-82May 2, 2012SEC Charges Florida Stock Scheme Mastermind and 10 Cohorts
2012-54Apr. 6, 2012SEC Freezes Accounts of Six Chinese Citizens and One Offshore Entity Charged with Insider Trading
2012-44Mar. 15, 2012SEC Charges Chicago-Based Management Consultant With Insider Trading
LR-22293Mar. 15, 2012Sherif Mityas
2012-41Mar. 13, 2012SEC Charges Five With Insider Trading on Confidential Merger Negotiations Between Philadelphia Company and Japanese Firm
LR-22288Mar. 14, 2012Timothy J. McGee, et al.
See also: SEC Complaint
LR-22280Mar. 9, 2012Steven J. Harrold
See also: SEC Complaint
LR-22274Mar. 5, 2012William F. Duncan and John M. Williams
LR-22238Jan. 26, 2012Igors Nagaicevs
See also: SEC Complaint
LR-22234Jan. 24, 2012Robert Ward, Benjamin Lewis, Stanley Lewis, and Jamie Lewis
See also: SEC Complaint
LR-22233Jan. 24, 2012Dale Shafer, Joseph Mroz and Jason Gonski
See also: SEC Complaint
LR-22223Jan. 11, 2012Earl C. Arrowood and Parker H. "Pete" Petit
See also: SEC Complaint
LR-22205Dec. 21, 2011John R. Easom, et al.
See also: SEC Complaint
2011-262Dec. 12, 2011SEC Charges "Shell Packagers" and Several Others in Penny Stock Scheme
LR-22189Dec. 12, 2011Alternative Green Technologies, Inc.
See also: SEC Complaint
LR-22169Nov. 25, 2011Jeffrey S. Richardson
See also: SEC Complaint
2011-253Dec. 6, 2011SEC Freezes Assets of Four Chinese Citizens Charged with Insider Trading
LR-22118Oct. 11, 2011M. Jason Hanold
See also: SEC Complaint
LR-22099Sep. 19, 2011One or More Unknown Purchasers of Securities of Global Industries, Ltd.
See also: SEC Complaint
LR-22099Sep. 19, 2011One or More Unknown Purchasers of Securities of Global Industries, Ltd.
See also: SEC Complaint
LR-22080Aug. 31, 2011Clay Capital Management, LLC, James F. Turner II, Scott A. Vollmar, Scott A. Robarge and Mark A. Durbin
See also: SEC Complaint
LR-22048Jul. 19, 2011Howard B. Wildstein
LR-21997Jun. 13, 2011Norman Forrest Germany, et al.
See also: SEC Complaint
LR-21951Apr. 29, 2011Magnum d'Or Resources, Inc.,
See also: SEC Complaint
2011-85Apr. 6, 2011SEC Charges Corporate Attorney and Wall Street Trader in $32 Million Insider Trading Ring
LR-21896Mar. 23, 2011Daniel F. Wiener II
See also: SEC Complaint
2011-69Mar. 17, 2011SEC Charges Kentucky Steel Company Executives With Insider Trading
LR-21879Mar. 9, 2011Jason Bo-Alan Beckman and Oxford Private Client Group, LLC, et al.
See also: SEC Complaint
LR-21877Mar. 7, 2011Todd Leslie Treadway
See also: SEC Complaint
LR-21874Mar. 7, 2011Anthony Fareri, Fareri Financial Services, Inc. d/b/a Amerifinancial, and Anthony Fareri & Associates, Inc.
2011-46Feb. 18, 2011SEC Charges Seven in Global Warming Pump-and-Dump Scheme
LR-21858Feb. 16, 2011Brett A. Cohen; David V. Myers; Aaron J. Scalia; and Stephen J. Scalia
See also: SEC Complaint
LR-21811Jan. 13, 2011CytoCore, Inc., et al.
See also: SEC Complaint
2011-9Jan. 13, 2011SEC Charges Former Board Chairman and Two Business Associates in Insider Trading Scheme
2010-249Dec. 16, 2010SEC Brings Fraud Charges Against Self-Described Idaho Nuclear Power Company
2010-241Dec. 8, 2010SEC Charges Uncle and Nephew in Insider Trading Scheme
2010-240Dec. 7, 2010SEC Charges Former Law Firm Technology Manager and Brother-in-Law in Serial Insider Trading Scheme
LR-21675 Sep 30, 2010Quri Resources, Inc. and Jaime Santiago Gomez
See also: SEC Complaint
LR-21674 Sep 30, 2010Atlantis Technology Group and Christoper Dubeau
See also: SEC Complaint
LR-21696 Oct 15, 2010Brian N. Lines, Scott G.S. Lines, LOM (Holdings) Ltd., Lines Overseas Management Ltd., LOM Capital Ltd., LOM Securities (Bermuda) Ltd., LOM Securities (Cayman) Ltd., LOM Securities (Bahamas) Ltd., Anthony W. Wile, Wayne E. Wile, Robert J. Chapman, William Todd Peever, Phillip James Curtis, and Ryan G. Leeds
LR-21619 Aug 6, 2010CJ's Financial and Candice D. Campbell
See also: SEC Complaint
2010-108Jun. 25, 2010SEC Charges Benefits Consultant to Government Agencies With Ponzi Scheme
LR-21515May 5, 2010Spongetech Delivery Systems, Inc., RM Enterprises International, Inc., Steven Y. Moskowitz, Michael E. Metter, George Speranza, Joel Pensley and Jack Halperin
Other Release Number(s): AAER-3131
See also: SEC Complaint
LR-21472 Apr 1, 2010Morando Berrettini and Ralph J. Pirtle
See also: SEC Complaint
2010-44Mar. 24, 2010SEC Charges Securities Professionals in Insider Trading Scheme Using Coded E-Mail
LR-21452 Mar 16, 2010BroCo Investments and Valery Maltsev
See also: SEC Complaint
LR-21425 Feb 25, 2010John A. Foley et al.
See also: SEC Complaint
LR-21404 Feb 3, 2010Bruce A. Macdonald and Robert A. Maresca, Defendants, and Bruce K. Bohlander, Relief Defendant
See also: SEC Complaint
R-21263Oct. 27, 2009Stanko J. Grmovsek
See also: SEC Complaint
LR-21259Oct. 22, 2009Lambros D. Ballas
See also: SEC Complaint
LR-21240Oct. 7, 2009Feng "Frank" Xie
See also: SEC Complaint
LR-21231Sep. 30, 2009K&L International Enterprises, Inc., et al.
LR-21193ASep. 1, 2009Golden Apple Oil and Gas, Inc., et. al.
See also: SEC Complaint
LR-21192Aug. 31, 2009Sarath B. Gangavarapu
See also: SEC Complaint
LR-21183Aug. 24, 2009Nancy Jewell, Kristin Mays, and Matthew B. Murphy, III
See also: SEC Complaint
LR-21179Aug. 18, 2009Eric Todd Seiden and Kamal Abdallah
See also: SEC Complaint
LR-21160Jul. 30, 2009Robert Glenn Bard and Vision Specialist Group LLC
See also: SEC Complaint
2009-173Jul. 28, 2009SEC Halts $50 Million Offering Fraud and Ponzi Scheme in Detroit Area
LR-21132Jul. 15, 2009Kevan D. Acord et al.
See also: SEC Complaint
LR-21122Jul. 9, 2009Pointer Worldwide, Ltd et al.
See also: SEC Complaint
LR-21084Jun. 12, 2009ZNext Mining Corporation, Inc. and Elvira G. Gamboa
See also: SEC Complaint
LR-21083Jun. 12, 2009Blackout Media Corporation and Sandy Winick Other Release No.: AAER-2990
See also: SEC Complaint
LR-21072Jun. 8, 2009Robert L. Hollier and Wayne A. Dupuis
See also: SEC Complaint
LR-21069Jun. 4, 2009Tajyar, et al.
See also: SEC Complaint
LR-20953AMar. 13, 2009Michael Biello
See also: SEC Complaint
LR-20937Mar. 9, 2009The Regency Group, LLC; Scott F. Gelbard; Jeffrey S. Koslosky; Aaron S. Lamkin; John J. Coutris; Michael J. Coutris; J. Coutris Partners, LP; Joseph S. Fernando; Wellington Capital Enterprises, Inc.; James J. Coutris; and Dimitrios I. Gountis
See also: SEC Complaint
LR-20931Mar. 5, 2009Anthony Fareri, Fareri Financial Services, Inc. d/b/a Amerifinancial, and Anthony Fareri & Associates, Inc.
See also: SEC Complaint
LR-20926Mar. 5, 2009Diversified Lending Group, Inc., et al.
LR-20892Feb. 10, 2009George David Gordon, Joshua Wayne Lankford, and Dean Joseph Sheptycki
See also: SEC Complaint
LR-20831Dec. 18, 2008Matthew C. Devlin, Jamil A. Bouchareb, Daniel A. Corbin, Frederick E. Bowers, Thomas R. Faulhaber, Eric A. Holzer, Jeffrey R. Glover, Corbin Investment Holdings, LLC and Augustus Management, defendants, and Maria T. Checa, Lee H. Corbin, LLC and Checa International, Inc., relief defendants
See also: Complaint in this matter
LR-20805ANov. 13, 2008Jonathan Wilson
See also: Complaint in this matter
LR-20804ANov. 13, 2008William M. Gallahair
See also: Complaint in this matter
LR-20789Oct. 23, 2008Brett C. Maas
See also: Complaint in this matter
LR-20765Oct. 1, 2008Joseph J. Queri Jr., Gary M. Gosson, et al.; Joseph J. Queri Jr., Joseph J. Queri Sr., et al.
See also:
Complaint v. Queri Jr., Gosson, et al.
Complaint v. Queri Jr., Queri Sr., et al.
LR-20759Sep. 30, 2008Samir I. Abed and Elias J. Antoun
See also: Complaint in this matter
LR-20754Sep. 29, 2008Carlos J. Petry
See also: Complaint in this matter
LR-20750Sep. 26, 2008Stephen Michael Strauss
See also: Complaint in this matter
LR-20743Sep. 25, 2008Jan A. Norelid and Pedro Gil Simoes
See also: Complaint in this matter
LR-20656Jul. 29, 2008George J. Simchuk
See also: Complaint in this matter
LR-20646Jul. 16, 2008William J. Rauch
See also: Complaint in this matter
LR-20645Jul. 15, 2008Homeland Safety International, Inc. F/K/A Sniffex, Inc.; Mark B. Lindberg, Petar D. Mihaylov, Yuri Markov, Paul B. Johnson, and Nicholas V. Klausgaard and Ilona V. Klausgaard; and Mark B. Lindberg
See also:
Complaint v. Homeland Safety International, Inc. et al.
Complaint v. Lindberg
LR-20610Jun. 4, 2008Jeffrey P. Myers
See also: Complaint in this matter
LR-20589May 20, 2008Gordon C. Bigler
See also: Complaint in this matter
LR-20564May 12, 2008Zachariah P. Zachariah, et al.
See also: Complaint in this matter
LR-20542Apr. 29, 2008Charles R. Norton and Chad R. Norton
LR-20529Apr. 17, 2008Michael A. Stummer
See also: Complaint in this matter
LR-20496Mar. 14, 2008Ryan M. Reynolds, et al.
See also: Complaint in this matter
LR-20474Mar. 4, 2008Stanley Manne
See also: Complaint in this matter
LR-20465Feb. 25, 2008GMC Holding Corporation and Richard Brace
See also: Complaint in this matter
LR-20431AJan. 18, 2008Ernesto Tapanes
See also: Complaint in this matter