‘Enforcement 40’ for 2020
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By Securities Docket on November 1, 2019, 8:14 am
On October 28, 2019, a Massachusetts man charged by the Securities and Exchange Commission with misleading investors was found guilty of securities fraud and of obstructing the SEC’s investigation by a federal jury in a parallel criminal case. The SEC’s civil action remains pending. via Defendant in SEC Enforcement Action Convicted of Securities Fraud and […]
By Securities Docket on October 24, 2019, 11:14 am
Cohn allegedly accessed compromising information about an investigation into GPB when he was a compliance examiner and industry specialist at the SEC’s enforcement division, according to officials with the Eastern District of New York, the FBI and the SEC Office of Inspector General, who announced the charges. While Cohn was in discussions with GPB about […]
By Securities Docket on January 14, 2016, 10:53 am
I always try to warn people not to get themselves thrown in prison by obstructing justice in SEC investigations. No really, I do! They just don’t listen. via From Bad to Worse — and Finally to Prison — for Apple Day-Trader Sued by SEC | Compliance Week
By Securities Docket on February 18, 2015, 11:33 am
A former portfolio manager who allegedly impersonated the president of his firm has become the latest person to turn a routine civil SEC investigation into criminal charges against them for perjury and obstruction of justice. via Feds Allege Employee Impersonated Firm’s President in SEC Inquiry | Compliance Week.
By Securities Docket on August 12, 2014, 9:30 am
The chief executive of a New York brokerage was criminally charged on Friday with lying to the U.S. Securities and Exchange Commission and faking documents to disguise how his firm did not have enough capital. Charles Moore, 62, was arrested Friday morning at the offices of his firm, Crucible Capital Group Inc, in downtown Manhattan, […]
By Securities Docket on September 6, 2013, 7:41 am
A California man’s conviction this week for obstructing an SEC investigation is the latest reminder that although the SEC is a civil agency, it is still possible for someone being investigated to botch things so badly that federal criminal prosecutors also get involved. via Traders, Don’t Turn Your Telephone Interview With the SEC Into a […]
By Securities Docket on January 5, 2012, 5:23 pm
Complaint alleges private attorney aided and abetted fraud by “obstructing an SEC investigation” of Stanford’s operations.
By Securities Docket on November 9, 2011, 12:11 pm
Annabel McClellan pleads guilty to one count of obstructing the due administration of law by making false statements to SEC.
By Securities Docket on September 11, 2009, 12:41 pm
Records were allegedly hauled away after court ordered that no company paperwork could be destroyed.
By Securities Docket on March 18, 2009, 3:34 pm
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 […]