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Editor: Eric C. Chaffee
Univ. of Toledo College of Law

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Thursday, February 5, 2009

SEC Brings Prime Bank Offering Fraud Charges in Colorado

The SEC charged Brian V. Prendergast of Castle Rock, Colorado, and his entity Enterprises, LLC, a Colorado limited liability company, with conducting a fraudulent prime bank offering scheme in coordination with Donald R. Smith of Aurora, Colorado, Yuail I. Enwia of Ceres, California, and Worldwide Equity Corporation ("WEC"), a Nevada corporation. The Commission alleges that Prendergast, who has previously been convicted of criminal securities fraud in Colorado and is currently on court-supervised release, purported to raise $2.5 million from investors, several of whom are senior citizens. On February 4, 2009 the Court entered an order granting a temporary restraining order against the defendants, requiring accountings, and freezing the defendants' assets derived from investor funds obtained in the fraudulent scheme.

http://lawprofessors.typepad.com/securities/2009/02/sec-brings-prim.html

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