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Topics - The Web Team

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1
SEC Administrative Proceedings / Park Meditech, Inc., Peerless Industrial Group, Inc., Peerless Tube Co., PH Group, Inc., PHC, Inc.
« on: November 12, 2009, 02:01:05 PM »
Park Meditech, Inc., Peerless Industrial Group, Inc., Peerless Tube Co., PH Group, Inc., PHC, Inc.
     



http://www.sec.gov/litigation/admin/2009/34-60987.pdf
     

2
SEC Administrative Proceedings / Park Meditech, Inc., Peerless Industrial Group, Inc., Peerless Tube Co., PH Group, Inc., PHC, Inc.
« on: November 12, 2009, 01:06:08 PM »
Park Meditech, Inc., Peerless Industrial Group, Inc., Peerless Tube Co., PH Group, Inc., PHC, Inc.
     



http://www.sec.gov/litigation/admin/2009/34-60987.pdf
     

3
SEC Litigation Releases / Osvaldo Pitters et al.
« on: November 12, 2009, 12:01:07 PM »
Osvaldo Pitters et al.
     

DEFAULT JUDGMENT OF PERMANENT INJUNCTION AND OTHER RELIEF ENTERED AGAINST DEFENDANT OSVALDO PITTERS.
     

http://www.sec.gov/litigation/litreleases/2009/lr21291.htm
     

4
SEC Administrative Proceedings / Ritchie Capital Management, LLC, Ritchie Multi-Strategy Global Trading Ltd., A.R. Thane Ritchie and Warren Louis DeMaio
« on: November 10, 2009, 05:01:08 PM »
Ritchie Capital Management, LLC, Ritchie Multi-Strategy Global Trading Ltd., A.R. Thane Ritchie and Warren Louis DeMaio
     



http://www.sec.gov/litigation/admin/2009/34-60986.pdf
     

5
SEC Litigation Releases / Ezra C. Levy
« on: November 10, 2009, 04:01:07 PM »
Ezra C. Levy
     

SEC CHARGES EZRA C. LEVY, FORMER CFO OF INVESTMENT ADVISORY FIRM, WITH FRAUD AND SEEKS ORDER FREEZING HIS ASSETS
     

http://www.sec.gov/litigation/litreleases/2009/lr21289.htm
     

6
SEC Administrative Proceedings / Merriman Curhan Ford & Co., D. Jonathan Merriman, and Christopher Aguilar
« on: November 10, 2009, 11:01:09 AM »
Merriman Curhan Ford & Co., D. Jonathan Merriman, and Christopher Aguilar
     



http://www.sec.gov/litigation/admin/2009/34-60976.pdf
     

7
SEC Litigation Releases / Thomas B. Evans
« on: November 09, 2009, 10:01:07 AM »
Thomas B. Evans
     

The Securities and Exchange Commission announced that, on November 6, 2009, it filed a civil action in the United States District Court for the District of Colorado against Thomas B. Evans, a resident of Austin, Texas, alleging that he violated the antifraud provisions of the federal securities laws.
     

http://www.sec.gov/litigation/litreleases/2009/lr21288.htm
     

8
SEC Litigation Releases / Joseph A. Fontanetta et al.
« on: November 06, 2009, 05:01:05 PM »
Joseph A. Fontanetta et al.
     

On September 24, 2009, following a ten day trial, including three days of deliberation, the jury in the Commission's civil action against Joseph A. Fontanetta pending in the United States District Court for the Southern District of New York informed the court that it was deadlocked and was unable to reach a verdict. The Court declared a mistrial and set a re-trial date of November 16, 2009. On November 2, 2009, the Commission and the Defendant entered into joint stipulation resulting in the dismissal of the case.
     

http://www.sec.gov/litigation/litreleases/2009/lr21287.htm
     

9
SEC Litigation Releases / Nicos Achilleas Stephanou et al.
« on: November 06, 2009, 04:01:04 PM »
Nicos Achilleas Stephanou et al.
     

SEC SETTLES INSIDER TRADING CHARGES AGAINST WALL STREET PROFESSIONAL AND TIPPEE
     

http://www.sec.gov/litigation/litreleases/2009/lr21285.htm
     

10
SEC Litigation Releases / Galleon Management, LP, Raj Rajaratnam, Rajiv Goel, Anil Kumar, Danielle Chiesi, Mark Kurland, Robert Moffat, New Castle Funds LLC, Roomy Khan, Deep Shah, Ali T. Far, Choo-Beng Lee, Far and Lee LLC, Spherix Capital LLC, Ali Hariri, Zvi Goffer, David Plate
« on: November 05, 2009, 04:01:06 PM »
Galleon Management, LP, Raj Rajaratnam, Rajiv Goel, Anil Kumar, Danielle Chiesi, Mark Kurland, Robert Moffat, New Castle Funds LLC, Roomy Khan, Deep Shah, Ali T. Far, Choo-Beng Lee, Far and Lee LLC, Spherix Capital LLC, Ali Hariri, Zvi Goffer, David Plate, Gautham Shankar, Schottenfeld Group LLC, Steven Fortuna, and S2 Capital Management, LP
     

SEC Charges 13 Additional Individuals and Entities in Galleon Insider Trading Case
     

http://www.sec.gov/litigation/litreleases/2009/lr21284.htm
     

11
SEC Litigation Releases / Arthur J. Cutillo, Jason C. Goldfarb, Zvi Goffer, Craig C. Drimal, Schottenfeld Group, LLC, Gautham Shankar, David Plate, Emanuel Goffer, and Michael Kimelman
« on: November 05, 2009, 01:01:05 PM »
Arthur J. Cutillo, Jason C. Goldfarb, Zvi Goffer, Craig C. Drimal, Schottenfeld Group, LLC, Gautham Shankar, David Plate, Emanuel Goffer, and Michael Kimelman
     

SEC Charges Wall Street Ring that Made Over $20 Million Serially Trading on Acquisition Information Tipped by Attorney at International Law Firm
     

http://www.sec.gov/litigation/litreleases/2009/lr21283.htm
     

12
SEC Administrative Proceedings / Rhino Trading, LLC, Fat Squirrel Trading Group, LLC, Damon Rein, and Steven Peter
« on: November 04, 2009, 05:01:03 PM »
Rhino Trading, LLC, Fat Squirrel Trading Group, LLC, Damon Rein, and Steven Peter
     



http://www.sec.gov/litigation/admin/2009/34-60941.pdf
     

13
SEC Litigation Releases / Merge Healthcare Incorporated, Richard Linden, and Scott Veech
« on: November 04, 2009, 04:01:07 PM »
Merge Healthcare Incorporated, Richard Linden, and Scott Veech
     

SEC charges Merge Healthcare Incorporated, Richard Linden, and Scott Veech in connection with accounting fraud
     

http://www.sec.gov/litigation/litreleases/2009/lr21282.htm
     

14
SEC Administrative Proceedings / Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson
« on: November 04, 2009, 03:01:09 PM »
Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson
     



http://www.sec.gov/litigation/admin/2009/33-9081.pdf
     

15
SEC Litigation Releases / Steven V. Cotton
« on: November 04, 2009, 03:01:06 PM »
Steven V. Cotton
     

On September 29, 2009, the Honorable Andrew Guilford, United States District Judge for the Central District of California, entered a Final Judgment against Steven V. Cotton, pursuant to Cotton's Consent.  Cotton is the former chief financial officer and chief operating officer of Lantronix, Inc., an Irvine, California technology company.
     

http://www.sec.gov/litigation/litreleases/2009/lr21281.htm
     

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