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Enforcement News
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Berkshire Resources, L.L.C., et al.DISTRICT COURT ENTERS FINAL JUDGMENTS AGAINST DEFENDANTS JASON T. ROSE, DAVID G. ROSE, AND MARK LONG, AND RELIEF DEFENDANTS BRIAN C. ROSE AND JOYCE A....
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Sandra Venetis, Systematic Financial Services, Inc., Systematic Financial Associates, Inc., and Systematic Financial Services, LLCSEC CHARGES NEW JERSEY INVESTMENT ADVISER IN MULTI-MILLION DOLLAR OFFERING FRAUD
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Sujata Sachdeva and Julie MulvaneySEC CHARGES OFFICER AND EMPLOYEE OF MILWAUKEE CORPORATION IN $30 MILLION EMBEZZLEMENT
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Lucent Technologies, Inc., et al.SEC SETTLES ACCOUNTING FRAUD CHARGES AGAINST FORMER SENIOR LUCENT SALES EXECUTIVE
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James W. Self Jr. and Stephen R. GoldfieldSEC CHARGES PHARMACEUTICAL COMPANY INSIDER AND FORMER HEDGE FUND MANAGER FOR INSIDER TRADING, RESULTING IN APPROXIMATELY $14 MILLION IN PROFITS
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Charlottesville, Virginia-based Defendants Ordered to Pay More than $4.6 Million in Disgorgement and Civil Penalties...The CFTC obtained more than $4.6 million in disgorgement and civil monetary penalties in a court order settling CFTC charges filed on March 11, 2009,...
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CFTC Charges Ohio-based Defendants Enrique Villalba, Jr., and Money Market Alternative, LP, with Operating a...The CFTC charged Enrique F. Villalba, Jr., of Cuyahoga Falls, Ohio, and his firm, Money Market Alternative, LP, an Ohio company, with operating a multi-million...
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Georgia-Based Hedge Fund Lake Dow and its Principal, Ty Edwards, Ordered to Pay More than...The CFTC obtained more than $4 million in restitution and civil monetary penalties in an order entered by the U.S. District Court for the Northern...
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Federal Court Imposes $260,000 in Civil Penalties against Austin, Texas Resident Steven Leigh Shakespeare and...The CFTC obtained $260,000 in civil monetary penalties and equitable relief in separate federal judgment orders against Steven Leigh Shakespeare and his company, Guardian Futures,...
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CFTC Charges Patrick Rakotonanahary and Cyber Market Group LLC with Operating a Multi-Million Dollar Ponzi...The CFTC charged Patrick Rakotonanahary and Cyber Market Group LLC (Cyber Market), both of Punta Gorda, Fla., with operating a multi-million dollar foreign currency (forex)...
The latest litigation releases from the Securities and Exchange Commission