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Class Claims Attorney Abetted Stanford Ponzi
Complaint alleges private attorney aided and abetted fraud by “obstructing an SEC investigation” of Stanford’s operations.
Pacific Heights Housewife Sentenced For Obstructing Insider Trading Probe
Annabel McClellan pleads guilty to one count of obstructing the due administration of law by making false statements to SEC.
Ex-Miami DEA Chief Indicted for Shredding Documents in Stanford Case
Records were allegedly hauled away after court ordered that no company paperwork could be destroyed.
Elliot Smith Sentenced to Two Years Probation for Obstructing SEC Probe
Elliot Smith, a founding member of the Chicago Board Options Exchange, was sentenced today to two years probation for obstructing justice in an SEC insider trading investigation. As previously discussed here, Smith pleaded guilty in December 2008 to the obstruction charge. Smith, who is 76 years old, could have received up to five years in [...]
Enforcement Action, Oncology Edition (cont.)
Back in September 2008, two cases in a span of two days prompted me to ask (in “Enforcement Action, Oncology Edition“) “which is worse — inducing shareholders to purchase $6.5 million of your company’s stock by falsely depicting the company as being on the verge of success curing cancer? Or defrauding a federal judge by [...]
Elliot J. Smith, Founding Member of CBOE, Pleads Guilty to Obstruction of Justice in SEC Probe
Elliot Joel Smith, a founding member of the Chicago Board Options Exchange, pleaded guilty on Tuesday to obstruction of justice in connection with an insider trading investigation by the SEC. Smith entered his plea before U.S. District Judge George B. Daniels in Manhattan, Dow Jones reports. Smith, who is 76 years old, faces up to [...]