Nevada Sports Investment Group, LP

Litigation Release No. 24264 / September 10, 2018 Securities and Exchange Commission v. Nevada Sports Investment Group, LP, No. 02:18-CV-01726 (D. Nev.) filed September 7, 2018 On September 7, 2018, […]

1 Global Capital, LLC, Carl Ruderman, et al.

The Securities and Exchange Commission today announced charges against 1 Global Capital LLC and its former chief executive officer for allegedly defrauding at least 3,400 retail investors, more than one-third […]

A. Catlin Cade, IV

Litigation Release No. 24240 / August 21, 2018 Securities and Exchange Commission v. A. Catlin Cade, IV, Civil Action No. 2:18-cv-01323-JEO (N.D. AL. filed August 17, 2018) The Securities and […]

David A. Harbour

Litigation Release No. 24220 / July 31, 2018 Securities and Exchange Commission v. David A. Harbour, No. CV-18-2401-PHX-DGC (D. Ariz. filed July 31, 2018) On July 31, 2018, the Securities […]

John Geraci

Litigation Release No. 24205 / July 17, 2018 Securities and Exchange Commission v. John Geraci, No. 18-CV-06432 (S.D.N.Y.) The Securities and Exchange Commission today announced fraud charges against a Miami-based […]

Jehu Hand, et al.

Litigation Release No. 24159 / June 6, 2018 USA v. Jehu Hand, Case No. 1:15-cr-10386-WGY (D. Mass.) Securities and Exchange Commission v. Jehu Hand, et al., Civil Action No. 1:15-cv-14109 […]

Ralph T. Iannelli et al.

Litigation Release No. 24158 / June 6, 2018 Securities and Exchange Commission v. Ralph T. Iannelli et al., Civil Action No. 2:18-cv-05008 (U.S. District Court for the Central District of […]

Alderson et al

The Securities and Exchange Commission has charged two former managers of SEC-registered investment adviser deVere USA, Inc. for allegedly making misleading statements and omissions concerning economic conflicts of interest and […]

Paul Gilman

Litigation Release No. 24156 / June 5, 2018 Securities and Exchange Commission v. Paul Gilman, Civil Action No. 3:18-cv-1421 (N.D Tex., filed June 4, 2018) The Securities and Exchange Commission […]

Edward Withrow, et al.

Litigation Release No. 24155 / June 4, 2018 Securities and Exchange Commission v. Edward Withrow, et al., No. 15-cv-13348 (D. Mass. filed Sept. 14, 2015) United States v. Edward Withrow, […]

Woojae (Steve) Jung

Litigation Release No. 24153 / May 31, 2018 Securities and Exchange Commission v. Woojae (Steve) Jung, No. 1:18-cv-04811 (S.D.N.Y. filed May 31, 2018) The Securities and Exchange Commission today charged […]

Steven Pagartanis

Litigation Release No. 24152 / May 30, 2018 Securities and Exchange Commission v. Steven Pagartanis, Civil Action No. 18-cv-3150 (E.D.N.Y., filed May 30, 2018)(JFB) The Securities and Exchange Commission today […]

Robert M. Morano

Litigation Release No. 24065 / March 8, 2018 Securities and Exchange Commission v. Robert M. Morano, No. 3:18-cv-00386 (D. Ore. filed Mar. 5, 2018) The Securities and Exchange Commission charged […]

Edward Henderson

Litigation Release No. 24063 / March 5, 2018 Securities and Exchange Commission v. Edward Henderson, No. 11-cv-12116 (D. Mass. filed Dec. 1, 2011) A federal court has barred the promoter […]

Jersey Consulting LLC

The Securities and Exchange Commission today announced charges against a Utah-based company, its principal, and several solicitors of the company’s securities in an ongoing offering fraud that has already targeted […]

AVEO Pharmaceuticals, Inc., et al.

Litigation Release No. 24062 / March 5, 2018 Securities and Exchange Commission v. AVEO Pharmaceuticals, Inc., et al., Civil Action No. 1:16-cv-10607-NMG (D. Mass. March 29, 2016) A federal district […]

Stefan Lumiere

The Securities and Exchange Commission has obtained a final judgment against a hedge fund manager the agency charged with falsely inflating assets in portfolios he managed. The SEC also barred […]