April 29, 2019/US SEC The Securities and Exchange Commission today announced the entry of an emergency court order freezing assets related to alleged insider trading that yielded approximately $2.5 million in profits in connection with the April 12, 2019 announcement that oil-and-gas conglomerate Chevron Corporation intended to acquire Anadarko Petroleum […]
Frauds & Scandals
SEC Announces Fraud Charges in Ticket Resale Investment Scam
April 29, 2019/US SEC The Securities and Exchange Commission today charged a New York City man with continuing a previously charged scheme, stealing millions of dollars from investors who were allegedly falsely promised their funds would be used for the purchase and resale of tickets to Broadway shows and a […]
SEC Charges San Diego-Based Investment Adviser with Running a Ponzi Scheme
April 26, 2019/US SEC On April 26, 2019, the Securities and Exchange Commission charged Christopher D. Dougherty and several entities he controlled, with operating a Ponzi scheme that defrauded his investment advisory clients out of $7 million. The San Diego District Attorney’s Office separately announced criminal charges related to the […]
