Outline of Recent SEC Enforcement Actions - the Utah State Bar

SEC v. Gendreau & Associates, Inc., and Jacques R. Gendreau ................................................................ 75
SEC v. Wealth Management LLC, James Putman, and Simone Fevola ..................................................... 75
SEC v. Reserve Management Company, Inc., et al. ................................................................................... 76
SEC v. Founding Partners Capital Management Company, et al. .............................................................. 77
SEC v. Locke Capital Management, Inc. and Leila C. Jenkins .................................................................. 78
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Inc. ..................................................................... 78
SEC v. James Tambone and Robert Hussey ............................................................................................... 79
IN THE MATTER OF PAX WORLD MANAGEMENT CORP. ............................................................................. 80
IN THE MATTER OF LPL FINANCIAL CORPORATION ................................................................................... 81
IN THE MATTER OF BANC OF AMERICA INVESTMENT SERVICES, INC., ET AL. ........................................... 82
CASES INVOLVING INSIDER TRADING .......................................................................................... 84
SEC v. Phillip Macdonald, Martin Gollan, and Michael Goodman ........................................................... 84
SEC v. Robert L. Hollier and Wayne A. Dupuis ........................................................................................ 84
SEC v. Jon-Paul Rorech, et. al .................................................................................................................... 85
SEC v. Matthew J. Browne ......................................................................................................................... 85
SEC v. Maher F. Kara, Michael F. Kara, Emile Y. Jilwan, Zahi T. Haddad, Bassam Y. Salman, and
Karim I. Bayyouk........................................................................................................................................ 86
SEC v. Nicos Achilleas Stephanou, et al. ................................................................................................... 87
SEC v. Ramesh Chakrapani ........................................................................................................................ 87
SEC v. Matthew C. Devlin, et al. ................................................................................................................ 88
SEC V. LOU L. PAI ...................................................................................................................................... 89
SEC V. WILLIAM J. RAUCH ......................................................................................................................... 90
SEC V. JAMES E. GANSMAN, ET AL............................................................................................................. 90
CASES INVOLVING MARKET MANIPULATION ........................................................................... 92
SEC v. Pegasus Wireless Corporation, Jasper Knabb, and Stephen Durland ............................................. 92
SEC v. Pawel P. Dynkowski, Matthew W. Brown, Jacob Canceli, Gerard J. D’Amaro, Joseph
Mangiapane Jr., Nathan M. Michaud, Marc J. Riviello and Adam S. Rosengard ...................................... 93
SEC v. Albert J. Rasch, Jr., Kathleen R. Novinger, Sandra B. Masino, and 144 Opinions, Inc. ................ 94
SEC v. Sky Way Global LLC (dba Sky Way Global, Inc.), Brent C. Kovar, Glenn A. Kovar, James S.
Kent, Kenneth Bruce Baker (aka Bruce Baker), and Kenneth R. Kramer, ................................................. 95
SEC v. Paul M. Gozzo and PMG Capital, LLC .......................................................................................... 96
SEC v. National Lampoon, Inc., et al. ........................................................................................................ 96
SEC v. Advatech Corporation, et al. ........................................................................................................... 96
SEC v. Alex Kanakaris, et al....................................................................................................................... 96
IN THE MATTER OF ANDROS ISLE DEVELOPMENT CORP., ET AL. ............................................................... 99
CASES INVOLVING SECURITIES OFFERINGS ............................................................................ 101
SEC v. Blackout Media Corporation and Sandy Winick .......................................................................... 101
SEC v. Berkshire Resources, L.L.C., et al. ............................................................................................... 101
SEC v. Wall Street Communications, Inc. et al. ....................................................................................... 102
SEC v. PrivateFX Global One Ltd., SA, 36 Holdings, Ltd., Robert D. Watson, and Daniel J. Petroski .. 103
SEC v. Kiselak Capital Group, LLC et al. ................................................................................................ 104
SEC v. Millennium Bank, et al. ................................................................................................................ 104
SEC v. Sunwest Management, Inc., Canyon Creek Development, Inc., Canyon Creek Financial, LLC, and
Jon M. Harder ........................................................................................................................................... 105
SEC v. Stanford International Bank, et al. ................................................................................................ 107
SEC v. Stefan H. Benger, et al. ................................................................................................................. 109
SEC v. Joseph S. Forte, et al. .................................................................................................................... 110
SEC v. Bernard L. Madoff and Bernard L. Madoff Investment Securities LLC ...................................... 111
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