William R. Schantz III's $4.6M Ponzi Scheme and Fraud
William R. Schantz III and Verto Capital Management LLC settled SEC charges for operating a Ponzi scheme, paying over $4.6 million in penalties.
By Maria Santos
Tag
SEC Settlement
14 articles tagged with "SEC Settlement"
Conrad M. Black's $85M Disclosure Fraud at Hollinger Inc.
Conrad M. Black and F. David Radler diverted $85 million from Hollinger Inc. through a fraudulent scheme, resulting in a $21.3M settlement with the SEC.
Morris Gad's $399,187 Insider Trading Settlement
Morris Gad settled SEC charges for insider trading based on tips from Nathan Rosenblatt, paying $399,187 in penalties and accepting a permanent injunction.
Peter Dong Zhou's $592,942 Insider Trading & Securities Fraud
Peter Dong Zhou settled SEC charges for insider trading and securities fraud related to China Yingxia International, Inc., paying $592,942 in penalties.
Jackie Gross $1.6M SEC Settlement for Disclosure Fraud
Jackie Gross and affiliates Telvest Communications and Morgan Spaulding settled SEC charges for $1.6M involving disclosure fraud and unregistered broker-dealer activities.
Thomas W. Davis: Enron Broadband Fraud Case Dismissed
Thomas W. Davis, former Enron executive, had SEC civil fraud charges dismissed in the Enron Broadband Services case. Other defendants paid $1.0M in penalties.
Yair Shamir: $100K Penalty for Stock Option Backdating Fraud
Yair Shamir, former Mercury Interactive director, paid $100,000 to settle SEC charges for approving backdated stock option grants and misleading disclosures.
Henry Morris & Quadrangle: $5M Penalty for Pension Kickbacks
Henry Morris's Quadrangle Group LLC paid $5M to settle SEC charges over a kickback scheme involving New York's largest pension fund through undisclosed payments.
James S. Sholeff's $200,000 Securities Fraud Settlement
James S. Sholeff, former PurchasePro.com executive, settled SEC charges for financial fraud with a $200,000 penalty and guilty plea in federal criminal case.
William F. McFarland's $375K Accounting Fraud at Riverstone
William F. McFarland settled SEC charges for inflating Riverstone Networks' revenues through improper recognition, paying $375,000 in penalties.
William M. Beecher's $1.9M Revenue Overstatement Fraud
Former i2 Technologies CFO William M. Beecher settled SEC charges for overstating revenues, paying $1.9M and accepting a five-year officer ban.
Mark A. Belnick: $100K Penalty for Tyco Disclosure Fraud
Mark A. Belnick, former Chief Corporate Counsel of Tyco International Ltd., paid $100,000 and accepted a five-year officer/director ban for disclosure fraud.
Arthur Knapp's $130K Accounting and Disclosure Fraud Settlement
Arthur Knapp, former OCZ Technology executive, settled SEC charges for accounting and disclosure fraud, paying $130,000 alongside co-defendant Ryan Petersen.
Gary Kendron's $8.2M Securities Fraud at AlphaCom
Gary Kendron and AlphaCom executives settled SEC charges for $8.2M over fraudulent securities sales and false claims about Internet technology ownership.