Michael S. Gordon

Michael S. Gordon

Katten Muchin Rosenman LLP

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SEC Brings Complaint in $68 Million Affinity Fraud Scheme

On July 6, the Securities and Exchange Commission filed a complaint in connection with a $68 million affinity fraud scheme allegedly orchestrated by Bingqing Yang, through her wholly owned management companies, Luca...more

7/23/2015 - China Civil Monetary Penalty Disgorgement EB-5 Foreign Investment Misappropriation Oil & Gas Ponzi Scheme SEC Securities Securities Exchange Act Securities Fraud

SEC Settles With Stock Promoters in Medical Marijuana Stock Manipulation Scheme

On July 9, the Securities and Exchange Commission settled with two stock promoters accused of reaping $2.5 million in illicit profits by manipulating stocks of medical marijuana microcap companies. According to the proposed...more

7/23/2015 - Criminal Prosecution Disgorgement Enforcement Actions Medical Marijuana Penny Stocks Price Manipulation Pump and Dump SEC Securities Act of 1933 Securities Exchange Act Settlement

CFTC Sues Chinese Citizen Accused of Executing Fraudulent Money Pass Trades

The Commodity Futures Trading Commission recently sued Chinese citizen Yumin Li, for violations of the Commodity Exchange Act (CEA). The CFTC accused Ms. Li of fraudulently accessing her employer’s futures account to transfer...more

7/16/2015 - CFTC Civil Monetary Penalty CME Commodities Exchange Act Disgorgement Enforcement Actions Futures Securities Fraud

SEC Brings Lawsuit Against Unregistered Broker Dealer

On May 15, the Securities and Exchange Commission filed a complaint against Behrooz Sarafraz in California federal court, alleging Sarafraz violated federal securities laws by acting as an unregistered broker dealer. ...more

5/29/2014 - Broker-Dealer Civil Monetary Penalty Disgorgement Enforcement SEC Securities Exchange Act

Former Hedge Fund Founder Ordered to Pay $5 Million for Securities Law Violations

The US District Court for the Southern District of New York recently ordered the investment adviser to two hedge funds, and its managing director, to pay nearly $5 million in disgorgement, prejudgment interest and civil...more

12/13/2012 - Disgorgement Hedge Funds Investment Adviser Penalties SEC Securities

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