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To: Jeffrey S. Mitchell who wrote (4841)9/12/1998 1:30:00 PM
From: Arcane Lore  Read Replies (1) of 26163
 
Jeff:

Actually, in the case of criminal fraud actions, the case would be described as "United States v. Whoever".

Here's an example from the SEC site announcing the sentencing in the criminal trial of Charles Huttoe (United States v. Charles O. Huttoe, Cr. 96-429-A) in the context of the corresponding civil enforcement action (Securities And Exchange Commission v. Charles O. Huttoe, et al., Civil Action No. 96-02543):

sec.gov

The relative difficulty one has in finding details of criminal enforcement actions at the SEC site is due, at least partly, to the relative infrequency with which such actions are sought. It also reflects the fact that the reporting of such actions at the site is less extensive than the corresponding reporting of civil enforcement actions.

Fortunately, the SEC has realized that more criminal enforcement actions are required and appears to be taking steps in this direction.

I do agree Icabod's purported letter from an attorney to the SEC lacks credibility. I believe few securities attorneys would make all of the following mistakes in a single letter:

indite

State of California Securities and Exchange Commission - Not only is the California securities regulator not known by a name remotely like this one (see #reply-5679192 ), none of the 50 states has a securities regulator with a name of the form: "State of ... Securities and Exchange Commission" (see law.ab.umd.edu )

State of Califirnia [sic] Office Of The Attorney General, Telemarketing Division. While the California Attorney General is actively pursuing telemarketing fraud
( caag.state.ca.us ), he hasn't seen fit to create a division for it as yet (see caag.state.ca.us )
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