U.S. Securities and Exchange Commission v. Geoffrey H. Lunn, Darlene A. Bishop and Vincent G. Curry, Civil Action No. 12-cv-02767, United States District Court, District of Colorado
SEC v. Yorkville Advisors, LLC, Mark Angelo and Edward Schinik, Civil Action No. 12-CV-7728 (S.D.N.Y.) (GBD) (filed October 17, 2012)
Final Judgments Entered Against Derek F.C. Elliott
On October 5, 2012 the Honorable James C. Mahan, United States District Judge for the District of Nevada, entered a Final Judgment against Derek F.C. Elliott (Elliott).
In the Matter of Scott E. Johnson
On October 15, 2012, the Securities and Exchange Commission (Commission) issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Scott E. Johnson (Johnson).
In the Matter of Stephen B. Blankenship
SEC Charges Four Brokers With Defrauding Customers in $18.7 Million Scheme:
Commission Charges Oregon-Based Investment Adviser for Failing to Disclose Revenue Sharing Payments
SEC Enforcement Action:
In the Matter of Bradford Keith Dent
On September 21, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 against Bradford Keith Dent. Dent was a registered representative with Carty & Company, a broker-dealer with offices in Memphis, Tennessee registered with the Commission.
SEC v. Rudolf D. Pameijer, et al., United States District Court for the Southern District of Indiana (Case No. 1:12-CV-01364) (S.D. In.)
SEC Charges Chicago-Based Investment Firm with Misleading Investors in Private Equity Offerings