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

Fourth Circuit Sustains Securities Fraud Claim Against Drug Manufacturer

On March 6, the US Court of Appeals for the Fourth Circuit found that the United States District Court for the Western District of North Carolina had erred in dismissing a class action lawsuit filed under Section 10(b) of the...more

4/2/2015 - Appeals Class Action FDA Material Nonpublic Information Scienter SEC Section 10(b) Securities Exchange Act

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

SEC Scores in Accounting Fraud Suit Against BankAtlantic Corp. and Former CEO

On October 10, a Florida federal judge granted the Securities and Exchange Commission’s motions for partial summary judgment against BankAtlantic (now BBX Capital Corp.) and its former CEO and chairman Alan Levan, finding...more

10/23/2013 - Accounting Fraud Compliance Enforcement Actions Fraud SEC Securities Exchange Act

Identity of Heinz Traders Uncovered in $4.8 Million Insider Trading Settlement with the SEC

Last week, the Securities and Exchange Commission reminded the public that the agency can track insider trading committed in the United States by foreign account owners. Following its commencement of an action in February...more

10/22/2013 - Heinz Insider Trading SEC Securities Exchange Act Settlement

District Court Finds that Securities Exchange Act Covers Stock "Float" Manipulation

In a self-described “precedent-setting” order, the US District Court for the Eastern District of Pennsylvania recently found that the Securities Exchange Act of 1934 (Exchange Act) can apply to a scheme aimed at gaining...more

2/7/2013 - Motion to Dismiss Officers Rule 10b-5 Section 10 of the Exchange Act Securities Exchange Act Stock Float

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