Robert A. Kasirer's $4.9M Municipal Bond Fraud Scheme
Robert A. Kasirer was permanently enjoined and ordered to pay over $4.9 million for orchestrating municipal revenue bond offering fraud in violation of securities laws.
Tag
Disgorgement
13 articles tagged with "Disgorgement"
Conrad M. Black's $85M Disclosure Fraud at Hollinger Inc.
Conrad M. Black and F. David Radler diverted $85 million from Hollinger Inc. through a fraudulent scheme, resulting in a $21.3M settlement with the SEC.
Pratima Rajan's $648K Insider Trading Scheme
Pratima Rajan was charged in an SEC insider trading case involving Arjun Sekhri and others that generated $1.8 million in illicit profits, settling for $648,201.
Thomas F. Goodman's $7.4M Fraudulent Securities Offering
Thomas F. Goodman and co-defendants were found liable for $7.4M in a fraudulent securities offering involving false promises of extraordinary returns.
Owen R. Fox Faces $7.9M Contempt Motion for Securities Fraud
Owen R. Fox and Bruce Franklin face SEC civil contempt motion for failing to pay $7.9M in disgorgement after securities law violations involving fraud.
Robert R. Parrish's $212K ATM Investment Ponzi Scheme Fraud
Robert R. Parrish and co-conspirators operated a Ponzi scheme involving fraudulent ATM investment contracts and unregistered securities, resulting in $212,077 penalty.
Mark Alan Lisser: $961K Penalty for Boiler Room Securities Fraud
Mark Alan Lisser was permanently enjoined and ordered to pay $961,440 for operating a boiler room scheme through Knightsbridge Capital Partners.
Farhang Afsarpour's $386K Insider Trading Penalty
Farhang Afsarpour received a $386,671 penalty in an SEC insider trading case alongside Sasan Sabrdaran, who also faced an officer and director bar.
Steven Enrico Lopez, Sr.: $1.1M Penalty in Securities Fraud Case
Steven Enrico Lopez, Sr. faced securities fraud charges in the Central District of California, resulting in over $1.1 million in disgorgement and penalties.
Frederick Harris $75M Prime Bank Scheme - $5.1M Penalty
Frederick Harris and co-defendants orchestrated a $75 million prime bank fraud scheme. The SEC obtained summary judgment, imposing permanent injunctions and penalties.
Betty Ann Rubin: $763K Ponzi Scheme in Oil & Gas Partnerships
Betty Ann Rubin implicated in SEC settlement involving $763,678 disgorgement for Ponzi-like scheme operating through oil and gas limited partnerships.
Michael Lauer's $62.5M Securities and Disclosure Fraud Penalty
Michael Lauer was ordered to pay over $62 million in disgorgement plus a $500,000 civil penalty for securities fraud and disclosure fraud violations.
John Larson's $175K Securities Fraud via Unregistered Sales
John Larson and others settled SEC charges for selling unregistered partnership units using boiler room tactics, resulting in $175,688 disgorgement penalty.