Showing posts with label ALLEGED FRAUD. Show all posts
Showing posts with label ALLEGED FRAUD. Show all posts
Sunday, June 28, 2015

CFTC CHARGES MAN, COMPANY WITH DEFRAUDING INVESTOR PARTICIPANTS IN INVESTMENT POOL

›
FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  June 24, 2015 CFTC Charges Illinois Resident Nick A. Wurl and His Company Ludiera Cap...
Friday, June 5, 2015

INVESTMENT ADVISER TO PAY OVER $1 MILLION TO ONCLUDE FRAUD CASES WITH SEC

›
FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Litigation Release No. 23273 / June 1, 2015 Securities and Exchange Commission v. Sage ...
Monday, June 1, 2015

SEC ALLEGES FRAUD IN CASE INVOLVING THE TOUTING THE PROSPECTS OF CERTAIN MICROCAP COMPANIES

›
FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  05/26/2015 12:30 PM EDT The Securities and Exchange Commission today announced fraud ch...
Tuesday, April 28, 2015

SEC OBTAINS INJUNCTION AGAINST MAN WHO ALLEGEDLY RAN FRAUD SCHEME TARGETING MILITARY PERSONNEL

›
FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23245 / April 22, 2015 Securities and Exchange Commission v. Leroy B...
Wednesday, April 15, 2015

SEC CHARGED FORMER TECHNOLOGY CEO WITH USING CORPORATE FUNDS FOR PERSONAL PURPOSES

›
FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION 03/31/2015 01:00 PM EDT The Securities and Exchange Commission charged the former CEO of S...
Thursday, April 9, 2015

SEC FILES SUIT AGAINST COMPANY, OWNER ALLEGING FRAUD AGAINST INVESTORS THROUGH OIL AND GAS WELL DEALS

›
FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION   Litigation Release No. 23231 / April 6, 2015 Securities and Exchange Commission v. GC ...

SEC CHARGES COMPANY AND OWNER WITH FRAUD IN RELATED TO SALE OF "LIFE SETTLEMENT" INVESTMENTS

›
FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  04/07/2015 04:30 PM EDT The Securities and Exchange Commission charged Los Angeles-base...
Monday, March 9, 2015

SEC FILES CHARGES AGAINST OPTIMA GLOBAL FINANCIAL, INC.

›
FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23213 / March 3, 2015 Securities and Exchange Commission v. Ahmad...
Saturday, February 7, 2015

CFTC CHARGED HUSBAND, WIFE AND COMPANIES WITH FRAUD

›
FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  February 3, 2015 CFTC Charges California Residents Christopher Valois and Cynthia Won...
Wednesday, December 10, 2014

CFTC CHARGES MAN WITH FRAUD AND ACTING AS AN UNREGISTERED FUTURES COMMISSION MERCHANT

›
FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  November 25, 2014 CFTC Charges California Resident Thomas Gillons with Fraud and Acti...
Saturday, December 6, 2014

SEC FILES ACTION AGAINST MAN WHO ALLEGEDLY DEFRAUDED INVESTORS

›
U.S. SECURITIES AND EXCHANGE COMMISSION FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Litigation Release No. 23146 / December 2, 2014...
Friday, December 5, 2014

SEC CHARGES MAN WITH STEALING MONEY HE RECEIVED FROM INVESTORS

›
FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SEC Charges California Resident with Fraudulent Sales of Stock The Securities and Excha...
Sunday, August 10, 2014

SEC SETTLES REAL ESTATE INVESTMENT FUND ALLEGED FRAUD CLAIMS

›
FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  San Francisco Bay Area Real Estate Fund Managers Settle Fraud Claims The Securities and...
Friday, August 1, 2014

SEC CHARGES BROKER WITH DEFRAUDING THE ELDERLY AND BLIND

›
FROM:  THE U.S. SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission charged a broker based in Roanoke, Va., with ...
Thursday, July 31, 2014

SCE ANNOUNCES FRAUD CHARGES AGAINST CEO OF RENEWABLE ENERGY PENNY STOCK COMPANY

›
FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission announced fraud charges against a penny stock co...
Saturday, July 26, 2014

SEC ANNOUNCES 2ND ROUND OF CHARGES FOR THOSE INVOLVED IN BOILER ROOM SHCEME

›
FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today announced a second round of charges agains...
Monday, July 21, 2014

SEC ANNOUNCES FRAUD CHARGES AGAINST ALLEGED "RECIDIVIST" VIOLATORS

›
FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission  announced fraud charges against four individual...
Wednesday, June 25, 2014

SEC CHARGES PALM BEACH HEDGE FUND ADVISORY FIRM AND FOUNDER WITH FRAUD

›
FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission charged a West Palm Beach, Fla.-based hedge fund ...
Friday, June 20, 2014

ALZHEIMER PRODUCTS COMPANY AND PRESIDENT ORDERED TO PAY $1.9 MILLION

›
FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Court Orders California Company and Its President to Pay Over $1.9 Million in Investment ...
Friday, May 30, 2014

CFTC CHARGES COUPLE AND COMPANY WITH MAKING ILLEGAL OFF-EXCHANGE COMMODITY TRANSACTIONS

›
FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  CFTC Charges Florida Residents Cindy and Paul Vandivier and Their Company, Mintline, In...