Category Archives: SEC Litigation News

Mohamud Abdi Ahmed and 2waytrading, LLC

U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23834 / May 12, 2017 Securities and Exchange Commission v. Mohamud Abdi Ahmed and 2waytrading, LLC, No. 17-cv-1478 (D. Minn. filed May 4, 2017) SEC Halts Fraudulent Conduct by Recidivist and Unregistered … Continue reading

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Walter C. Little and Andrew M. Berke

U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23833 / May 11, 2017 Securities and Exchange Commission v. Walter C. Little and Andrew M. Berke, Civil Action No. 1:17-CV-03536 (S.D.N.Y., filed May 11, 2017) SEC Charges Law Firm Partner and … Continue reading

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Douglas Roe and Donald Lindo

U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23832 / May 11, 2017 Securities and Exchange Commission v. Douglas Roe and Donald Lindo, Case No. 8:17-cv-01293-TDC (D.Md., filed May 11, 2017) The Securities and Exchange Commission today announced charges against … Continue reading

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Wensheng Lin and Sheng Li Chen

U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23831 / May 11, 2017 Securities and Exchange Commission v. Wensheng Lin and Sheng Li Chen, No. 17 Civ. 3054 (VEC) (S.D.N.Y. filed April 26, 2017) Court Orders Continuing Asset Freeze of … Continue reading

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Chamroonrat, et al.

U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23830 / May 11, 2017 Securities and Exchange Commission v. Chamroonrat, et al., Civil Action No. 16-CV-9403-KM-JBC (D.N.J. filed December 21, 2016) SEC Names Additional Defendants in the Nonko Trading Fraud Case … Continue reading

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One or More Unknown Traders in the Securities of Fortress Investment Group, LLC

U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23760 / February 28, 2017 Securities and Exchange Commission v. One or More Unknown Traders in the Securities of Fortress Investment Group, LLC, Civil Action No. 2:17-CV-01287 (D.N.J.) SEC Freezes Assets of … Continue reading

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Shaohua (Michael) Yin, et al.

U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23747 / February 10, 2017 Securities and Exchange Commission v. Shaohua (Michael) Yin, et al., Civil Action No. 17-CV-972 (S.D.N.Y., filed February 10, 2017) SEC Charges Chinese Citizens Who Reaped Massive Profits … Continue reading

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Alan Barry Staples

U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23746 / February 10, 2017 Securities and Exchange Commission v. Alan Barry Staples, No. 1:17-cv-01000 (S.D.N.Y. filed Feb. 10, 2017) Australian-based Trader Settles Insider Trading Charges The Securities and Exchange Commission today … Continue reading

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Oxford City Football Club, Inc., et al.

U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23745 / February 8, 2017 Securities and Exchange Commission v. Oxford City Football Club, Inc., et al., Civil Action No. 15-CV-62594-KMW (S.D. Fla.) FINAL JUDGMENTS ENTERED AGAINST THOMAS GUERRIERO AND OXFORD CITY … Continue reading

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Michael Affa, et al.

U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23743 / February 7, 2017 Securities and Exchange Commission v. Michael Affa, et al., No. 14-cv-12959 (D. Mass. filed July 11, 2014) United States v. Michael Affa, et al., No. 1:14-cr-10221 (D. … Continue reading

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