December 18, 2018/US SEC SEC Charges Husband of Investment Banker with Insider Trading The Securities and Exchange Commission today charged a New York-based banking consultant with insider trading in advance of an airline merger based on confidential information he learned by eavesdropping on the phone conversations of his then-fiancé, who […]
Frauds & Scandals
SEC Obtains Asset Freeze Against Former CEO Charged with Misappropriating Investor Funds
December 15, 2018/US SEC The Securities and Exchange Commission today announced charges against Thomas H. Laws, the former CEO of Santa Fe Gold Corporation, for the misappropriation of investor funds. The SEC also obtained an asset freeze against Laws. The SEC’s complaint, unsealed on December 6, 2018, alleges that, from […]
SEC Obtains Final Judgment Against Suburban Chicago Tech Executive
December 14, 2018/US SEC The Securities and Exchange Commission has obtained a final judgment against the former Chairman and CEO of a company purportedly in the homeland security business. In October 2011, the SEC charged Gregory E. Webb, the Chairman and CEO of InfrAegis, Inc., and InfrAegis, with conducting a […]
