Peter Dong Zhou's $592,942 Insider Trading & Securities Fraud
Peter Dong Zhou settled SEC charges for insider trading and securities fraud related to China Yingxia International, Inc., paying $592,942 in penalties.
Tag
Unregistered Securities
10 articles tagged with "Unregistered Securities"
Steven Brewer's $5.2M World Vision Entertainment Ponzi Scheme
Steven Brewer was permanently enjoined in the World Vision Entertainment Ponzi scheme case, with SEC ordering $5.2M in disgorgement and penalties.
James S. Eberhart: $2.3M Unregistered Securities Fraud at Debisys
James S. Eberhart fraudulently sold $2.3 million in unregistered securities through Debisys, Inc., resulting in SEC permanent injunction and $76,102 penalty.
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.
Barry Liss: $464K Penalty in Oil Well Offering Fraud Scheme
Barry Liss and Carol J. Wayland faced SEC action for oil well offering fraud involving unregistered securities and investor fund misappropriation totaling $464,665.
Robert Walton, Jr. Pays $1M+ for Securities Fraud at Hadsell
Robert Walton, Jr., former President of Hadsell Chemical Processing, LLC, ordered to pay over $1 million for misrepresenting facts to investors and failing to register securities.
Gerald P. Alexander's $2.4M Unregistered Securities Fraud
Gerald P. Alexander and his companies CJB Consulting and Regis Filia Holdings faced $2.4M in penalties for unregistered securities sales and broker violations.
Laura Mascola's $3.5M BitConnect Unregistered Securities Case
Laura Mascola, along with BitConnect promoters Michael Noble and Joshua Jeppesen, ordered to pay over $3.5 million for promoting unregistered securities.
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.
Jason C. Wong Hit with $3M Penalty in Corporate Hijacking Scheme
Jason C. Wong, along with Irwin Boock and Stanton B.J. DeFreitas, was ordered to pay part of $12.9M in relief for hijacking 23 defunct companies and selling unregistered securities.