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Browse: Home / Judgments

Judgments

Penny-Stock Trader’s Imprisonment for Stiffing SEC Affirmed

By Securities Docket on October 7, 2022, 8:47 am

A penny-stock trader’s challenges to a judgment in favor of the SEC for more than $12 million and to his subsequent incarceration for not complying with a payment plan failed Thursday. Some of Edward Bronson’s arguments are untimely, and they all lack merit, the US Court of Appeals for the Second Circuit said in an […]

Posted in Criminal, SEC, Top | Tagged Judgments

Former F-Squared CEO must pay $12.4 mln in SEC case: U.S. judge

By Securities Docket on March 20, 2018, 4:19 pm

The former chief executive of F-Squared Investments Inc, once the largest U.S. money manager creating portfolios out of exchange-traded funds, must pay more than $12.4 million for making false statements to investors, a federal judge ruled on Tuesday. via Former F-Squared CEO must pay $12.4 mln in SEC case: U.S. judge.

Posted in SEC, Top | Tagged Judgments

Ex-billionaire Wyly targeted by SEC over Colorado ranch sale | Dallas Morning News

By Securities Docket on April 20, 2015, 6:56 am

Bankrupt former billionaire Sam Wyly was accused by regulators of hiding the ownership of a luxury Colorado ranch in a possible bid to avoid paying creditors as much as $50 million in future sale proceeds. via Ex-billionaire Wyly targeted by SEC over Colorado ranch sale | Dallas Morning News

Posted in SEC, Top | Tagged Judgments

SEC loses bid to boost judgment against Wylys — Bloomberg

By Securities Docket on December 24, 2014, 9:26 am

The Securities and Exchange Commission lost a bid to make Sam Wyly and his late brother’s estate pay more than the $188 million plus interest ordered by a judge in September for their use of offshore trusts to hide stock holdings and engage in illegal trading. via SEC loses bid to boost judgment against Wylys […]

Posted in SEC, Top | Tagged Judgments

Federal Court Orders Wylys to Pay ‘Staggering’ Judgment in SEC Fraud Case | Compliance Week

By Securities Docket on September 26, 2014, 9:55 am

Yesterday, U.S. District Judge Shira Scheindlin ruled that Sam Wyly and the estate of his late brother, Charles, must pay $187.7 million in disgorgement following the SEC’s May 2014 jury verdict against them. The court described the judgment as a “staggering” sum that could reach $300-$400 million with interest. via Federal Court Orders Wylys to […]

Posted in SEC, Top | Tagged Financial Fraud, Judgments

Shareholders Obtain $882 Million Default Judgment in Longtop Financial Securities Suit — The D & O Diary

By Securities Docket on November 20, 2013, 7:36 am

On November 14, 2013, Southern District of New York Judge Shira Scheindlin entered a default judgment order including a damages award of $882.3 million against Longtop Financial Technologies Ltd. and its former CEO, Wai Chau Lin. A copy of the order can be found here. However, as impressive as the size of this award is, the […]

Posted in Class Actions, Top | Tagged China, Judgments

SEC Wraps Up Its ‘Golden Goose’ Insider Trading Case – Compliance Week

By Securities Docket on May 16, 2013, 9:47 am

Yesterday, four and a half years after the SEC filed its complaint in what is now known even by the agency as the “Golden Goose” case, the SEC announced that final settlements were reached with the last remaining defendants in the matter. On May 14, 2013, a federal court entered final judgments against defendants Jamil […]

Posted in SEC, Top | Tagged Insider Trading, Judgments

SEC Awarded $34.5 Million Judgment Against Fugitive Believed to be ‘Living in High Style’ in Mumbai

SEC Awarded $34.5 Million Judgment Against Fugitive Believed to be ‘Living in High Style’ in Mumbai

By Securities Docket on August 26, 2011, 2:08 am

Subject of $34.5 million judgment is a wanted fugitive.

Posted in SEC, Top | Tagged Judgments

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