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SEC Enforcement Actions

					
The  (SEC) is the United States agency with primary responsibility for enforcing federal securities laws. Whistleblowers with knowledge of violations of the federal securities laws can submit a claim to the SEC under the SEC Whistleblower Reward Program, and may be eligible to receive 聽monetary rewards and protection against retaliation by employers.


Below are summaries of recent SEC settlements or successful prosecutions. If you believe you have information about fraud which could give 聽rise to an SEC enforcement action and claim under the SEC Whistleblower Reward Program, please contact us to speak with one of our experienced whistleblower attorneys.

				

			

			
						
					
			

	
		
		

			

				
				
February 13, 2015

				 The SEC charged purported hedge fund manager Moazzam 鈥淢ark鈥� Malik with stealing money from his investors.听 Specifically, the SEC alleges Malik raised $840,774 from investors but never made real investments and withdrew the cash and spent it as his own.听 His fund, which has changed its name several times, has been called Wall Street Creative Partners, then Seven Sages Capital LP, and then American Bridge Investment Group LLC, and most recently Wolf Hedge LLC.听				 					 

						
Tagged in:
													  Misrepresentations, 
													  Securities Fraud, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
February 11, 2015

				 The SEC charged Charles L. Hill Jr. with insider trading.听 Specifically, the government alleges Hill made approximately $740,000 in illicit profits by trading in Radiant Systems stock on the basis of confidential inside information he received from a friend about an impending tender offer by NCR Corporation to buy the company.听 				 					 

						
Tagged in:
													  Insider Trading, 
													  Securities Fraud, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
February 10, 2015

				 The SEC announced William Slater and Peter E. Williams III, former CFOs of Silicon Valley software company Saba Software, agreed to return nearly a half-million dollars in bonuses and stock sale profits they received while Saba was committing accounting fraud.听 While not personally charged with the company鈥檚 misconduct, Slater and Williams are still required under the Sarbanes-Oxley Act to reimburse the company for bonuses and stock sale profits received while the fraud occurred.听 Last year, the SEC charged Saba Software and two former executives responsible for the accounting fraud in which timesheets were falsified to hit quarterly financial targets.听 

February				 					 

						
Tagged in:
													  Accounting Fraud, 
													  Misrepresentations, 
													  Securities Fraud, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
February 10, 2015

				 Craig S. Lax, former CEO of a ConvergEx, agreed to pay more than $783,000 and admit wrongdoing to settle charges he participated in a scheme that caused his company鈥檚 customers to pay substantially higher amounts than the disclosed commissions for buying and selling securities. 聽The company previously paid $107M and admitted wrongdoing to settle related charges.听 In settling the SEC鈥檚 charges, Lax also agreed to be barred from the securities industry for at least five years.听 				 					 

						
Tagged in:
													  Regulatory Violations, 
													  Securities Fraud, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
February 6, 2015

				 The SEC imposed sanctions against four China-based accounting firms that had refused to turn over documents related to investigations of potential fraud.听 The China-based firms are members of large international networks associated with the 鈥淏ig Four鈥� accounting firms and include Deloitte Touche Tohmatsu Certified Public Accountants Limited, Ernst & Young Hua Ming LLP, KPMG Huazhen, andPricewaterhouseCoopers Zhong Tian CPAs Limited Company.听 Under the settlement, the firms each agreed to pay $500,000 and admit they did not produce documents before the proceedings were instituted against them in 2012.听 				 					 

						
Tagged in:
													  Accounting Fraud, 
													  Securities Fraud, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
February 5, 2015

				 The SEC charged Chicago-area alternative energy company聽Broadwind Energy, along with its former CEO J. Cameron Drecoll and CFO Stephanie K. Kushner, for accounting and disclosure violations that prevented investors from knowing that reduced business from two significant customers had caused substantial declines in the company鈥檚 long-term financial prospects.听 Broadwind Energy agreed to pay a $1 million penalty, and Drecoll and Kushner agreed to pay nearly $700,000 in combined disgorgement and penalties.听 				 					 

						
Tagged in:
													  Accounting Fraud, 
													  Misrepresentations, 
													  Securities Fraud, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
February 5, 2015

				 The SEC charged a stock research analyst, a corporate insider, and two others involved in a California-based insider trading ring that generated nearly $750,000 in illegal profits by trading in advance of four corporate news announcements.听 According to the government, John Gray, then an analyst at Barclays Capital, and his friend Christian Keller traded on confidential merger information that Keller learned while working in finance at two Silicon Valley-based public companies Applied Materials Inc. and Rovi Corporation.听 Gray, Keller and their accomplices agreed to settle the SEC鈥檚 charges by paying more than $1.6M combined.听 				 					 

						
Tagged in:
													  Insider Trading, 
													  Securities Fraud, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
January 29, 2015

				 Chicago-based International Capital Group, along with its two co-founders and former chief operating officer, agreed to pay more than $4.3M to settle charges they sold more than nine billion shares of penny stocks through purported stock-based loans, block trades, and other transactions without registering with the SEC as a broker-dealer as required under the federal securities laws.听 				 					 

						
Tagged in:
													  Market Manipulation and Trading Violations, 
													  Regulatory Violations, 
													  Securities Fraud, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
January 27, 2015

				 Oppenheimer & Co. agreed to pay $20M to settle charges of violating federal securities laws by improperly selling penny stocks in unregistered offerings on behalf of customers.听 				 					 

						
Tagged in:
													  Regulatory Violations, 
													  Securities Fraud, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
January 22, 2015

				 Florida-based engineering and construction firm The PBSJ Corporation (now known as The Atkins North America Holdings Corporation) agreed to pay $3.4M to settle charges of violating the Foreign Corrupt 91porn Act (FCPA) by offering and authorizing bribes and employment to foreign officials to secure Qatari government contracts.听 				 					 

						
Tagged in:
													  FCPA, 
												
						

					
	
							
	
		
		
	


 			


											

						

								

									
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