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June 13, 2013
SEC Fraud
SEC Whistleblower was Key to Enforcement Action Against Institutional Shareholder Services
Once again, the Securities and Exchange Commission (SEC) whistleblower program has proven to be a vital tool in the fight against securities fraud. After receiving a critical whistleblower tip concerning securities fraud within a Maryland-based proxy adviser firm, the SEC was able to quickly move forward with administrative proceedings. A […]
June 12, 2013
SEC Fraud
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 […]
June 6, 2013
SEC Fraud
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 […]
April 3, 2013
Healthcare Fraud
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 […]
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