Search results

Order by most recent / most popular / relevance

Results: 1-10 of 12

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 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

Hedge fund manager pleads guilty to mail fraud

Sutherland Asbill & Brennan LLP
-
USA
-
December 7 2009

Alexander Trabulse, hedge fund manager for Fahey Hedge Fund and Fahey Financial Group, Inc., both located in San Francisco, Calif., pleaded guilty to mail fraud in the Northern District of California

Relief by SEC against Randy W. Cho for misappropriation of investors’ funds

Sutherland Asbill & Brennan LLP
-
USA
-
November 6 2009

The SEC filed an emergency civil action in the U.S. District Court of the Northern District of Illinois charging Randy W. Cho, a resident of Newton, Mass., with fraudulent conduct

Advisory firm employee sentenced for embezzling more than $1.3 million in client funds

Sutherland Asbill & Brennan LLP
-
USA
-
November 6 2009

The SEC announced that Rita White, a former employee of former Boston-based investment advisory firm Veritas Advisors, Inc., was sentenced to two years' imprisonment, followed by three years of supervised release, and was ordered to pay a fine of $25,000

SEC brings a fraud action against adviser involving web sites

Sutherland Asbill & Brennan LLP
-
USA
-
November 6 2009

The SEC alleged ongoing investment fraud by Marvel Partners, which had promised guaranteed investment returns of up to 138 over a three-day period

SEC obtains permanent injunction against hedge fund and its investment adviser for fraud in Minnesota

Sutherland Asbill & Brennan LLP
-
USA
-
August 4 2009

The SEC obtained a permanent injunctive order against Paramount Partners, LP (Paramount), a hedge fund, Crossroad Capital Management, LLC (Crossroad), Paramount’s investment adviser, and John W. Lawton (Lawton), who ran Crossroad

Federal court enjoins New York hedge fund, its adviser, and its controller for illegal trading

Sutherland Asbill & Brennan LLP
-
USA
-
August 4 2009

Judge P. Kevin Castel, U.S. District Judge for the Southern District of New York, found after a bench trial that Cary G. Brody and two entities he controlled, New York hedge fund Colonial Fund LLC and its adviser, Colonial Investment Management LLC, were liable for illegal trading relating to 18 registered public offerings

SEC obtains emergency relief to halt fraud by Nebraska investment adviser

Sutherland Asbill & Brennan LLP
-
USA
-
August 4 2009

The SEC charged Omaha, Nebraska investment adviser Envision Investment Advisors, LLC (Envision), and its principal Ryan M. Jindra, with misappropriating nearly $775,000 of client assets

next >