Insights
July 28, 2015
Officers, directors, trustees, or partners who hear about a fraud through another employee are not eligible for a whistleblower award until 120 days after the employee has failed to notify the SEC. Th...
July 16, 2015
On June 18, 2015, the SEC charged an oil company and its CEO for lying to investors about oil reserve estimates and future drilling plans. Glen Landry, the CEO of Norstra Energy, published to Norstra’...
July 6, 2015
On July 2, 2015, the SEC froze a fraudulent venture headed by DFRF Enterprises, its leader, and six promoters. The SEC alleges that DFRF Enterprises operated a Ponzi scheme by promoting and selling me...
May 22, 2015
The SEC filed fraud charges against an Atlanta-based investment firm and two of its executives for their handling of the city’s pension funds for police, firefighters, transit workers, and other...
May 11, 2015
The Alabama Securities Commission intercepted $16,000 worth of redeemed stock owned by Harry H. “Woody” Duncan from Huntsville, Alabama and successfully rerouted the cash to assist in the ...
April 23, 2015
A judge in Madison County, Alabama has granted a continuation for the trial scheduled for May in an alleged tomato farming scandal. James Lawhorne is alleged to have defrauded investors of Cypress Cre...
April 21, 2015
The Ohio Supreme Court ruled today that ex-Evergreen Corporation President David Willan will serve his full ten year prison sentence for securities violations under the state’s racketeering laws...
April 17, 2015
Hendrickx Toussaint, a former attorney from Atlanta, Georgia, has pleaded guilty in Madison County, Alabama Circuit Court to one count of Conspiracy to Commit Securities Fraud by employing a device, s...
April 10, 2015
Will Allen, a former National Football League cornerback, was charged with fraud by the SEC for allegedly running a Ponzi scheme that bilked investors out of $31 million. Allen allegedly worked with S...
April 9, 2015
Securities regulators from New Hampshire want LPL Financial to pay $3.6 million in fines and repayments to investors for allegedly unsuitable sales of real estate investments to elderly clients. The N...
March 30, 2015
Alabama Resident Pleads Guilty In Ponzi Scheme Case Over a five year span, former Hoover, Alabama financial broker Bryan Anderson found eighteen people to invest $8.4 million in a number of investment...
March 18, 2015
North Carolina Resident Accused of Securities Fraud Micah Christopher Wilson of Gastonia, North Carolina was accused last week of defrauding investors out of hundreds of thousands of dollars. Law enfo...
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