Two Defendants Settle Gold Mine Securities Fraud Case with SEC

Two of three defendants have opted to settle in a securities fraud action that allegedly defrauded investors of approximately $2.7 million. In 2012, the Securities and Exchange Commission (SEC) charged a father, son and daughter team with the orchestration of a wide-reaching securities fraud scheme centered on a bogus $11 […]

Lengthy List of Securities Fraud Charges Result in a 17 Year Sentence for Defendant

On April 26, 2013, following a litany of charges brought by the Securities and Exchange Commission (“SEC”), a Massachusetts man was sentenced to 17 years in federal prison by United States District Judge Denise J. Casper. Arnett L. Waters, a former investment advisor and principal broker-dealer, plead guilty to seven […]

SEC Files Securities Fraud Charges Against Venture Capitalist for Stealing Investor Funds

The Securities and Exchange Commission (SEC) recently charged a former Oregon gubernatorial political candidate and his lawyer with operating an investment scam selling pre-IPO shares of Facebook, LinkedIn, Groupon, and Zynga. The SEC charged Craig Berkman, a Portland venture capitalist, with the facilitation of securities fraud of at least 120 […]

The SEC Whistleblower Program

The Securities and Exchange Commission (“SEC”) is the federal agency responsible for regulating the securities industry and for enforcing federal securities laws. The SEC protects the public against fraudulent and manipulative practices in the securities markets. Congress created the SEC Whistleblower Program as a way to offer incentives to those people who have […]