Actions Resulting from Referrals to Federal and State Authorities

Number Date Title
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-23479 Mar. 3, 2016 Fortitude Group, Inc., et al., and Strategic Global Investments, Inc., et al.
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