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Results: 1-10 of 36

Massachusetts-based IA criminally charged for defrauding investors

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

The U.S. Attorney’s Office for the District of Massachusetts filed an Information against Stephen F. Clifford, a former investment adviser based in Plymouth, Massachusetts

Director of SEC Division of Enforcement speaks before the U.S. Senate Committee on the Judiciary concerning mortgage fraud, securities fraud, and the financial meltdown: prosecuting those responsible

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

Robert Khuzami, Director of the Division of Enforcement, spoke before the U.S. Committee on the Judiciary, along with colleagues from the U.S. Department of Justice (DOJ) and the Federal Bureau of Investigation

SEC issues order against Moises Pacheco

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

The SEC issued an order against Moises Pacheco based on the entry of a permanent injunction against Pacheco in the civil action entitled SEC v. Pacheco

SEC settles case against Ohio investment adviser who allegedly defrauded elderly clients

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

The Securities and Exchange Commission (SEC) announced that investment adviser (IA) Julie M. Jarvis, of Columbus, Ohio, and her financial advisory firm, Crossroads Financial Planning, Inc., have agreed to settle the SEC’s pending civil action against them

SEC issues order against Mermelstein for failure to supervise portfolio manager

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

The SEC issued an order against Stephen Jay Mermelstein, finding that Mermelstein, the former Chief Operating Officer of a formerly registered investment adviser, Ark Asset Management, Co., Inc., failed reasonably to supervise a portfolio manager who engaged in fraudulent trade allocation practices during the years 2000 through 2003

SEC charges Austin-based IA and two businesses with operating a multimillion-dollar scam utilizing former football stars

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

The SEC filed securities fraud charges against an Austin, Texas, investment adviser and two businesses he controls for operating a multimillion-dollar scam that used former professional football players to promote its offerings

SEC obtains consent judgments against Frank J. Russo and FJR corporation

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

The Federal Court for the District of Massachusetts entered consent judgments in a previously filed enforcement action against Frank J. Russo, a Massachusetts-based former investment adviser, and his investment advisory corporation, FJR Corporation

SEC issues order against Simpson Capital Management and two officers for fraudulent late trading scheme in shares of mutual funds

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

The SEC issued an order against Simpson Capital Management, Inc., Robert A. Simpson, and John C. Dowling, finding that, between May 2000 and September 2003, Simpson, the President and founder of Simpson Capital, a hedge fund manager, conducted a fraudulent scheme involving unlawful “late trading” in shares of mutual funds

SEC adds charges against Rajaratnam and Galleon Management LP

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • December 7 2009

The SEC announced additional charges in its insider trading enforcement action against billionaire Raj Rajaratnam and Galleon Management LP by charging 13 additional individuals and entities, including three hedge fund managers, three professional traders at New York-based Schottenfeld Group, and a senior executive at Atheros Communications, a California-based developer of networking technologies

Eichengreen alleged to have defrauded hedge fund

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • December 7 2009

The SEC issued an order barring William H. Eichengreen from associating with any investment adviser