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Category Archives: SEC Investigation
Was There a Fox in the Henhouse? Corporate Auditor at Public Company Charged with Insider Trading
As someone who handles litigation and white-collar criminal matters, I’m often troubled by my clients’ corporate audit department. It will author lengthy, non-privileged reports about processes at companies that don’t work. Those reports put everyone on notice about those failing … Continue reading
What Does the TD In TD Bank Stand For? Also, Did TD Bank’s Vice President Help Scott Rothstein’s Ponzi Scheme?
The SEC and the Office of the Comptroller of the Currency both claimed that TD Bank assisted Scott Rothstein—the Florida lawyer currently serving 50 years in prison for a Ponzi scheme—with committing fraud. The OCC contended that TD Bank violated … Continue reading
Posted in Investor fraud, SEC Investigation, Securities fraud
Tagged Banking industry, Ponzi scheme, Scott Rothstein
1 Comment
Seven Fun Ways To Commit Insider Trading
There have been several high-profile insider trading cases recently. I can’t do justice to the facts of all the recent cases, but here’s a quick sampling of some of the more interesting cases. 1. Use a Facebook Friend. Badin Rungruangnavarat, … Continue reading
Maybe the Third Time’s a Charm: SEC Charges Oppenheimer Private Equity Fund Manager with Misleading Investors
The website for private investment company Oppenheimer & Co. says the company traces its roots back to the 1870s and a gentleman named Harris C. Fahnestock. Mr. Fahnestock was apparently an investment advisor to President Abraham Lincoln. The website carefully … Continue reading
Posted in SEC Investigation, SEC Settlement, Securities fraud
Tagged Private equity industry
1 Comment
First Is the Worst: SEC Forces Hedge Fund Manager To Admit Wrongdoing Under New Policy
It’s not often that someone wishes the government investigated him earlier. But Philip Falcone, the hedge fund advisor for Harbinger Capital, may be wishing exactly that. Mr. Falcone and Harbinger Capital recently agreed to settle an SEC investigation against them … Continue reading
He Can’t Just Reboot To Fix This Problem: IT Guy at Coffee Company Accused of Insider Trading by SEC
One thing I miss about my former BigLaw firm is having the IT department around to help when something goes wrong with my computer. One thing I don’t miss is having the IT department tell me to reboot my computer … Continue reading
New Technology, Old-School Fraud: SEC Goes After Bitcoin-Based Ponzi Scheme
A confession: I picked this post topic because I kept seeing articles about Bitcoins and still did not understand what the heck they were. So I figured that if I wrote a post about it, then I’d be forced to … Continue reading
The Devil’s in the Details: The SEC’s Case Against Steven A. Cohen
We’ve all seen the headline: “SEC charges S.A.C. Capital’s Steven A. Cohen.” There has been so much press about this investigation, particularly the criminal side of it, that it almost feels as though the SEC had to charge him or … Continue reading
Posted in Insider Trading, SEC Investigation
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What is the SEC’s “Cross-Border Working Group”? This Chinese Company’s Executive Is Getting a Tough Lesson
You may not have heard of the SEC’s Cross-Border Working Group but if you are a company with substantial foreign operations that trades in the United States, chances are the Working Group has heard of you. Since it began, the … Continue reading
Posted in Commercial Bribery, SEC Investigation, Securities fraud
Tagged Chinese company
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Quick Cases: Insider Trading
This is the first of what will be recurring posts that offer quick summaries of similar cases. Think of them as the Kay and Peele version of my blog posts, though not nearly as funny and always safe for work. … Continue reading
