Showing posts with label ALLEGED MISREPRESENTATIONS. Show all posts
Showing posts with label ALLEGED MISREPRESENTATIONS. Show all posts
Sunday, July 21, 2013

FINANCIAL COMPANY AND OWNER FOUND LIABLE FOR VIOLATIONS OF SECURITIES LAWS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Court Finds Massachusetts-Based Viking Financial Group, Inc. and Its Owner Steven Palladin...
Saturday, March 16, 2013

DEFENDANTS MUST PAY NEARLY $16,000,000 TO SETTLE UNREGISTERED STOCK SALES CASE

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Court enters final judgment against Defendants The Securities and Exchange Commission ...
Sunday, January 13, 2013

ALLEGED NEW GOLD EXTRACTION PROCESS EXTRACTED FUNDS FROM INVESTORS

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission today filed fraud charges against a California-...
Tuesday, September 25, 2012

COLLATERALIZED DEBT OBLIGATIONS CASE SETTLED FOR $23 MILLION

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., Sept. 7, 2012 – The Securities and Exchange Commission today announce...
Monday, August 13, 2012

SEC CHARGES INDIVIDUALS AND ENTITIES IN BOILER ROOM SCHEME

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION SEC Charges Participants in $5 Million Boiler Room Scheme The Securities and Exchange C...
Friday, June 29, 2012

SEC SETTLES WITH TWO FORMER BEAR STEARNS HEDGE FUND MANAGERS

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FROM:  SECURITES AND EXCHANGE COMMISSION  June 25, 2012 Court Approves SEC Settlements with Two Former Bear Stearns Hedge Fund Portfolio M...