SEC Charges Eldrick Woodley with Embezzlement of Client Funds

Going Public LawyerThe Securities and Exchange Commission (SEC) on September 22, 1015, filed fraud charges against Eldrick Woodley, a Houston-based investment advisor, for the embezzlement of more than $147,000 in client capital. According to the SEC s complaint, filed in the U.S. District Court for the Southern District of Texas, Houston Division, Woodley, doing business as the advisory firm Woodley & Co. Wealth Strategies, undertook... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/sec-charges-eldrick-woodley-with-embezzlement-of-client-funds/

SEC Charges Hitachi, LTD. With Violation of FCPA

Going Public LawyerThe Securities and Exchange Commission (SEC) on September 28, 2015 charged Tokyo-based conglomerate Hitachi, Ltd. with violating the Foreign Corrupt Practices Act (FCPA) when it falsified documents regarding payments to South Africa s ruling political party connected with contracts to construct two multi-billion dollar power plants. Hitachi has agreed to pay $19 million to settle the SEC charges. The SEC alleges that... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/sec-charges-hitachi-ltd-with-violaion-of-fcpa/

SEC Charges Trinity Capital Corporation with Fraud

The Securities and Exchange Commission (SEC) announced on September 28, 2015 that Trinity Capital Corporation and its wholly-owned subsidiary, Los Alamos National Bank, have agreed to pay $1.5 million to settle accounting fraud charges. An SEC inv...
https://www.securitieslawyer101.com/?p=32145

SEC Files Charges Against Ralph Pirtle and Morando Berrettini for Insider Trading

Going Public LawyerThe Securities and Exchange Commission (SEC) announced on September 25, 2015 that on September 24, 2015, a jury in federal district court in Chicago, Illinois, returned a verdict finding Ralph J. Pirtle and Morando Berrettini responsible for insider trading in the stocks of three companies: Lifeline Systems, Inc., Invacare, Inc., and Intermagnetics Corporation. The SEC’s first amended complaint, which was... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/sec-charges-ralph-pirtle-with-insider-trading/

SEC Charges GenAudio and CEO With Fraudulent Stock Offerings

Going Public Lawyer
https://www.securitieslawyer101.com/2015/sec-charges-genaudio-ceo-with-fraudulent-stock-offerings/

SEC Charges Six in Securities Fraud Scheme

Going Public LawyerOn September 24, 2015 the Securities and Exchange Commission (SEC) charged six men, including a father and three sons, with securities fraud associated with Gerova Financial Group Ltd., whose shares once traded on the New York Stock Exchange. In a parallel action, the U.S. Attorney’s Office for the Southern District of New York announced criminal charges against the six: Jason Galanis, his... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/sec-charges-six-in-securities-fraud-scheme/

SEC Files Charges Against Ralph Pirtle and Morando Berrettini for Insider Trading

The Securities and Exchange Commission (SEC) announced on September 25, 2015 that on September 24, 2015, a jury in federal district court in Chicago, Illinois, returned a verdict finding Ralph J. Pirtle and Morando Berrettini responsible for insider ...
https://www.securitieslawyer101.com/?p=32130