Actions Resulting from Referrals to Federal and State Authorities

Number Date Title
LR-23854 June 7, 2017 SEC Charges Owner of Consulting Company in Louisiana With Insider Trading
SEC Complaint
34-80737 May 19, 2017 Eco Science Solutions, Inc.
34-80667 May 11, 2017 Global Quest, Ltd.
2017-100 May 11, 2017 Law Firm Partner and Neighbor Charged in $1 Million Insider Trading Scheme
SEC Complaint
LR-23831 May 11, 2017 Court Orders Continuing Asset Freeze of $1.2 Million In Assets From Two Chinese Citizens For Illegally Selling Penny Stock Shares
LR-23830 May 11, 2017 SEC Names Additional Defendants in the Nonko Trading Fraud Case
SEC Complaint
LR-23826 May 9, 2017 Default Judgments Entered Against All Defendants In Law Firm Hacking Case
34-80600 May 4, 2017 Valmie Resources, Inc.
Press Release May 2, 2017 Five Additional Defendants Charged in Securities Fraud Conspiracy
LR-23821 May 1, 2017 SEC Freezes $1.2 Million In Assets From Two Chinese Citizens For Illegally Selling Penny Stock Shares
SEC Complaint
2017-83 Apr. 24, 2017 Investment Bank VP Charged With Insider Trading
SEC Complaint
2017-80 Apr. 14, 2017 SEC Freezes Brokerage Accounts Behind Alleged Insider Trading
SEC Complaint
34-80435 Apr. 11, 2017 Sunshine Capital, Inc.
Press Release Apr. 7, 2017 William T. “Billy” Walters Convicted In Manhattan Federal Court Of Insider Trading
34-80368 Apr. 4, 2017 Immage Biotherapeutics Corp.
34-80367 Apr. 4, 2017 AgriEuro Corp.
34-80366 Apr. 4, 2017 eMedia Group, Inc
LR-23797 Apr. 3 2017 Court Orders Boston Area Resident to Pay Over $590,000 in Insider Trading Action
SEC Complaint
2017-71 Mar. 27, 2017 SEC Halts Boiler Room Scheme Involving State Lottery Tickets
LR-23789 Mar. 24 2017 SEC Obtains Asset Freeze in Suspected Insider Trading on Mobileye N.V. Acquisition
SEC Complaint
LR-23784 Mar. 23, 2017 SEC Charges Virginia Man with Insider Trading
SEC Complaint
LR-23783 Mar. 20, 2017 Court Enters Final Judgments Against Two Rhode Island Men Charged With Insider Trading
2017-66 Mar. 14, 2017 Auditor Charged With Insider Trading on Client’s Nonpublic Information
2017-62 Mar. 9, 2017 SEC Charges Marijuana-Related Company and Executives With Touting Bogus Revenues
SEC Complaint
LR-23760 Feb. 28, 2017

SEC Freezes Assets of Unknown Traders in Supsected Insider Trading Ahead of Fortress Acquisition
SEC Complaint

LR-23757 Feb. 22, 2017

Former Investment Banker Sentenced to Three Years in Prison for Insider Trading

2017-44 Feb. 10, 2017 SEC Charges Chinese Citizens Who Reaped Massive Profits From Insider Trading on Comcast-Dreamworks Acquisition
SEC Complaint
LR-23737 Feb. 1, 2017

SEC Charges Patric Ken Baccam with Fraudulent Offering and Sale of Securities
SEC Complaint

LR-23736 Feb. 1, 2017

Market Maker Settles Charges in Fraudulent Pump-and Dump Scheme

LR-23730 Jan. 27, 2017

Christopher R. Esposito, et al.

Press Release Jan. 25, 2017

Owner of Offshore Brokerage Firm Sentenced to Prison for Role in International Money Laundering

LR-23719 Jan. 13, 2017

Gregg R. Mulholland

LR-23711 Dec. 27, 2016

Chinese Traders Charged with Trading On Hacked Nonpublic Information Stolen from Two New York-Based Law Firms

Marks First Time SEC Charges Hacking into Law Firm Computer Networks

LR-23703 Dec. 20, 2016 SEC Charges Career Microcap Shell Promoter
2016-265 Dec. 16, 2016 SEC Charges Gatekeepers in Microcap Frauds
2016-256 Dec. 5, 2016 IT Specialist Settles Charges of Insider Trading on Hacked Nonpublic Information
2016-222 Oct. 21, 2016 SEC Charges Board Member With Insider Trading During and After Board Meeting
2016-214 Oct. 13, 2016 Hedge Fund Firm and Supervisor Charged With Failing to Prevent Insider Trading
LR-23667 Sep. 30, 2016 Stockbroker in Post-It Note Insider Trading Case Sentenced to 36 Months in Prison
LR-23666 Sep. 30, 2016 SEC Charges Alleged Penny Stock Manipulators
LR-23665 Sep. 30, 2016 SEC Announces Fraud Charges Against Colorado Company Focused On the Marijuana Industry
LR-23662 Sep. 29, 2016 Biotech Employee Charged with Insider Trading Ahead of Company's Announcements About Breast Cancer Drug
SEC Complaint
2016-205 Sep. 29, 2016 Biotech Employee Charged With Insider Trading Ahead of Company’s Announcements About Breast Cancer Drug
SEC Complaint
2016-198 Sep. 28, 2016 SEC Files Insider Trading Charges Against Peruvian Traders Using Overseas Accounts
SEC Complaint
34-78937-s Sep. 26, 2016 SEC Charges Four Individuals with Insider Trading in Pharmaceutical Company Stock Prior to Acquisition Announcement
2016-193 Sep. 26, 2016 SEC Charges CEO and Boiler Room Operator With Fraud
SEC Complaint
LR-23650 Sep. 21, 2016 Middleman in Post-It Note Insider Trading Case Sentenced to a Year and a Day in Prison
2016-189 Sep. 21, 2016 SEC Charges Hedge Fund Manager Leon Cooperman With Insider Trading
SEC Complaint
LR-23646 Sep. 14, 2016 Source in Post-It Note Insider Trading Case Sentenced to 46 months in Prison
2016-178 Sep. 6, 2016 SEC Charges CEO and Paid Promoter With Fraudulently Promoting Stock of Las Vegas Health Products Company
SEC Complaint
34-78691 Aug. 26, 2016 MarilynJean Interactive Inc.
LR-23622 Aug. 22, 2016 SEC Charges Michael Andre Jones With Fraudulent Offering and Sales of Unregistered Securities
SEC Complaint
News Release Aug. 17, 2016 Managing Director of Investment Bank Found Guilty of Insider Trading Charges
34-78570 Aug. 15, 2016 Neuromama, Ltd.
LR-23618 Aug. 12, 2016 SEC Charges Florida-Based Company and its Former CEO and CFO With Fraud
SEC Complaint
2016-160 Aug. 11, 2016 SEC Charges Stockbroker and Friend With Insider Trading
SEC Complaint
2016-156 Aug. 4, 2016 SEC Charges Cardiologist With Insider Trading on Confidential Drug Trial Developments
SEC Complaint
LR-23593 Jul. 7, 2016 Thomas W. Avent, Jr., Raymond J. Pirrello, Jr., and Lawrence J. Penna
See also: SEC Complaint
LR-23586 Jun. 29, 2016 Andrew F. Kerr
See also: SEC Complaint
News Release Jun. 28, 2016 Caroline Meyers sentenced to two years for role in “pump-and-dump” scheme
2016-121 Jun. 16, 2016 Software Executive and Three Friends Charged With Insider Trading
SEC Complaint
2016-119 Jun. 15, 2016 Hedge Fund Managers and Former Government Official Charged in $32 Million Insider Trading Scheme
34-78059 Jun. 14, 2016 Enterprise Energy, Inc.
2016-115 Jun. 9, 2016 Consultant to Chinese Private Equity Firms Settles Insider Trading Charges
LR-23560 Jun. 7, 2016 Kingdom Legacy General Partner, LLC and Mark C. Northrop
See also: SEC Complaint
2016-108 Jun. 3, 2016 Childhood Friends Charged With Insider Trading in Pharmaceutical Stocks
2016-99 May. 31, 2016 SEC Halts Ponzi Scheme Aimed at Middle Class
2016-96 May. 31, 2016 Investment Banker and Plumber Charged With Insider Trading
LR-23545 May. 26, 2016 Christopher R. Esposito, et al.
See also: SEC Complaint
34-77870 May. 20, 2016 NuTech Energy Resources, Inc.
Press Release May. 19, 2016 William T. "Billy" Walters Charged In Manhattan Federal Court With Insider Trading
2016-92 May. 19, 2016 SEC Announces Insider Trading Charges in Case Involving Sports Gambler and Board Member
34-77783 May. 9, 2016 Midwest Oil and Gas, Inc.
LR-23527 May. 3, 2016 George A. Moore III, et al.
2016-80 May. 3, 2016 SEC and Law Enforcement Partners Crack Stock Promotion and Kickback Schemes
2016-79 May. 2, 2016 Silicon Valley Executive Settles Insider Trading Charges
LR-23526 Apr. 26, 2016 Asher Z. Zwebner, and Luke C. Zouvas, et al.
2016-67 Apr. 13, 2016 SEC: Research Analyst Is Insider Trading in Mother’s Brokerage Account
LR-23511 Apr. 7, 2016 David Aubel and Robert Raffa
LR-23506 Mar. 30, 2016 Daniel Rivera, et al.
See also: SEC Complaint
LR-23504 Mar. 29, 2016 Tobin Smith, et al.
See also: SEC Complaint
LR-23496 Mar. 23, 2016 Guy Gentile
See also: SEC Complaint
LR-23491 Mar. 16, 2016 Yue Han, et al.
2016-53 Mar. 14, 2016 SEC Charges Microcap Company CEO for Touting Bogus “Clean Energy” Contracts With Foreign Governments
LR-23474 Feb. 24, 2016 Steven Fishoff, et al.
2015-290 Dec. 28, 2015 Traders in China and Hong Kong Paying $920,000 to Settle Insider Trading Case
2015-286 Dec. 21, 2015 SEC Charges Financial Advisor in Market Manipulation Case
2015-282 Dec. 17, 2015 SEC Charges Martin Shkreli With Fraud
2015-279 Dec. 15, 2015 SEC Files Charges in Multi-Million Dollar Market Manipulation
2015-267 Nov. 25, 2015 Former Goldman Employee Charged With Insider Trading Before Mergers
LR-23408 Nov. 17, 2015 Steven C. Watson
2015-259 Nov. 17, 2015 SEC Charges Pump-and-Dump in Marley Coffee Stock
LR-23403 Nov. 10, 2015 Zhichen Zhou and Yannan Liu
LR-23398 Nov. 2, 2015 Vlad B. Spivak, et al.
LR-23391 Oct. 23, 2015 Vladimir Eydelman
News Release Oct. 15, 2015 Stock promoters admit to violating Alberta securities laws
LR-23386 Oct. 9, 2015 Andrew Farmer, et al.
LR-23385 Oct. 9, 2015 Francis J. van Steenberge and Nicolas Zanen
LR-23380 Oct. 7, 2015 Oscar Wu
News Release Sept. 29, 2015 Joseph Bucci sentenced to 18 months for role in “pump and dump” scheme
2015-214 Sept. 28, 2015 Credit Suisse to Pay $4.25 Million and Admits to Providing Deficient “Blue Sheet” Trading Data
2015-213 Sept. 28, 2015 SEC Charges Five With Insider Trading, Including Two Attorneys and an Accountant
LR-23364 Sep. 24, 2015 Morando Berrettini, et al.
2015-205 Sept. 23, 2015 SEC Charges Consultant and Friend With Insider Trading in Advance of P.F. Chang’s Merger
2015-199 Sept. 21, 2015 SEC Charges Two Men in Stock Manipulation Scheme
LR-23349 Sep. 16, 2015 8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, Esq.
2015-185 Sep. 9, 2015 SEC Charges Father and Son and Friend With Insider Trading
34-75841 Sep. 4, 2015 SEC Suspends Trading in Advanced Lighting Solutions, Inc.
LR-23333 Sep. 3, 2015 A.L. Waters Capital, LLC, et al.
2015-163 Aug. 11, 2015 SEC Charges 32 Defendants in Scheme to Trade on Hacked News Releases
2015-157 July 31, 2015 SEC Charges Man With Microcap Fraud Involving Shares of Cynk Technology Corp.
2015-152 July 21, 2015 SEC Charges Three Penny Stock Promoters Behind Pump-and-Dump Schemes
LR-23302 July 13, 2015 Frank Tamayo
LR-23298 July 6, 2015 Luca International Group, LLC, et al.
2015-129 June 23, 2015 SEC Charges Microcap Promoter With Illegally Selling Penny Stock Shares
2015-128 June 23, 2015 SEC Obtains Asset Freeze Against China-Based Trader for Suspicious Activity Last Week
2015-119 June 15, 2015 Swiss Trader to Pay $2.8 Million to Settle Insider Trading Charges
34-75169 June 15, 2015 Joymain International Development Group, Inc.
See also Order
2015-116 June 9, 2015 SEC Charges Biotech Employee, Two Stockbrokers With Insider Trading on Nonpublic Information About Pharmaceutical Trials and Merger
2015-115 June 9, 2015 Trader to Pay $1 Million for Short Selling Violations
LR-23278 June 8, 2015 Anthony Andrade, et al.
See also: SEC Complaint
2015-107 June 3, 2015 SEC Charges Four With Insider Trading Ahead of Secondary Offerings
2015-104 May 28, 2015 SEC Charges Two Stock Promoters With Conducting Market Manipulation Schemes
2015-100 May 26, 2015 SEC Charges New York Lawyer and Two Promoters With Market Manipulation
2015-90 May 14, 2015 SEC Charges Father and Son in $1.1 Million Insider Trading Scheme
LR-23248 April 28, 2015 Frank Perkins Hixon, Jr., et al.
2015-68 April 16, 2015 SEC Charges New York-Based Financial Advisor With Stealing $20 Million From Customers
2015-56 April 2, 2015 SEC Charges Friends With Insider Trading on Acquisition of Cooper Tire
34-74550 Mar. 20, 2015 ChitrChatr Communications Inc.
See also Order
Press Release Mar. 12, 2015 Former Ocala Area Man Arrested for Investment Fraud
34-74428 Mar. 4, 2015 Spriza, Inc.
See also Order
2015-37 Feb. 19, 2015 SEC Charges Brothers-in-Law in Louisiana With Insider Trading
Press Release Feb. 13, 2015 Former Wells Fargo Investment Banker And Three Conpsirators Sentenced For Insider Trading Conspiracy
LR-23195 Feb. 11, 2015 Caledonian Bank Ltd., et al.
2015-29 Feb. 11, 2015 SEC Announces Charges Against Atlanta Man Accused of Insider Trading in Advance of Tender Offer
2015-23 Feb. 5, 2015 SEC Charges Four in California Insider Trading Ring
LR-23187 Feb. 3, 2015 Joel J. Epstein
34-73841 Dec. 16, 2014 American Heritage International Inc.
See also Order
2014-282 Dec. 16, 2014 SEC Announces Charges Against Owner Of Equity Research Firm Accused Of Manipulative Trading
LR-23153 Dec. 9, 2014 George H. Holley, et al.
LR-23150 Dec. 5, 2014 J. Patrick O'Neill and Robert H. Bray
2014-270 Dec. 4, 2014 SEC Charges Montana Man in Pump-and-Dump Scheme Involving Virginia-Based Penny Stock Company
LR-23142 Nov. 25, 2014 D. Michael Donnelly
34-73650 Nov. 20, 2014 Bravo Enterprises Ltd., et al.
See also Order
2014-256 Nov. 17, 2014 SEC Charges Three Penny Stock Promoters Behind Pump-and-Dump Schemes
2014-250 Nov. 6, 2014 SEC Charges California Lawyer and Two Massachusetts Men Behind Scheme to Manipulate Stock of Sports Ticket Broker
2014-247 Nov. 3, 2014 SEC Charges Two Canadian Citizens With Penny Stock Fraud Involving Tennessee Coal Mining Company
2014-238 Oct. 24, 2014 SEC Charges New Jersey Man in Insider Trading Case Involving Pharmaceutical Companies
2014-227 Oct. 14, 2014 SEC Announces Insider Trading Charges Against Former Financial Analyst at Pharmaceutical Company
34-73274 Oct. 1, 2014 Nudg Media Inc.
See also Order
2014-219 Sept. 29, 2014 SEC Charges Two Florida Men With Defrauding Investors in Purported Television Network
2014-215 Sept. 25, 2014 SEC Suspends Trading in Nine Penny Stocks in Ongoing Initiative to Combat Microcap Fraud
2014-204 Sept. 19, 2014 SEC Charges Brooklyn Man for Facilitating Insider Trading Scheme Via Post-It Notes at Grand Central Terminal
2014-202 Sept. 18, 2014 SEC Charges Eight for Roles in Widespread Pump-and-Dump Scheme Involving California-Based Microcap Company
2014-198 Sept. 16, 2014 SEC Obtains Asset Freeze Against Company in Turks and Caicos Islands Behind South Florida-Based Ponzi Scheme
2014-197 Sept. 16, 2014 SEC Charges IT Employee at Law Firm With Insider Trading Ahead of Merger Announcements
2014-175 Aug. 26, 2014 SEC Charges Investor Relations Firm Executive With Insider Trading Ahead of News Announcements By Clients
2014-169 Aug. 18, 2014 SEC Charges Former Bank Executive and Friend With Insider Trading Ahead of Acquisition
2014-168 Aug. 15, 2014 SEC Announces Charges in Houston-Based Sc