Showing posts with label ALLEGED SECURITIES FRAUD. Show all posts
Showing posts with label ALLEGED SECURITIES FRAUD. Show all posts
Friday, October 3, 2014

4 INSURANCE AGENTS CHARGED BY SEC WITH SECURITIES FRAUD WHICH TARGETED THE ELDERLY

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SEC Charges Four Insurance Agents in Securities Fraud Targeting Elderly Investors 09/26...
Wednesday, August 28, 2013

SEC SETTLES FINANCIAL CRISIS FRAUD CHARGES WITH COO OF UCBH HOLDINGS, INC.

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FROM:  SECURITIES EXCHANGE COMMISSION  SEC Settles Claims Against Ebrahim Shabudin Arising from Understated Bank Losses During Financial Cr...
Wednesday, August 21, 2013

SEVERAL CEO'S AND COMPANIES CHARGED WITH FRAUD IN PENNY STOCK MARKET MANIPULATION SCHEME

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission charged several CEOs and their companies, and five p...
Monday, April 22, 2013

"TEACH ME TO TRADE" INFOMERCIAL PERSONALITY TO PAY $225,000 TO SETTLE SEC FRAUD CHARGE

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Former "Teach Me to Trade" Saleswoman and Infomercial Personality Linda (Knu...
Friday, March 1, 2013

SEC CHARGES HEDGE FUND MANAGERS WITH SECURITIES FRAUD

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION SEC Charges Connecticut Hedge Fund Managers With Securities Fraud In February 26, 201...
Thursday, September 13, 2012

COMPANY AND TOP EXECUTIVES CHARGED BY SEC WITH RUNNING A BOILER ROOM OPERATION

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION SEC Charges Massachusetts-Based Corporation and Senior Officers in $26 Million Fraudulen...
Thursday, August 2, 2012

LOCATE PLUS HOLDINGS CORPORATION AGREES TO SETTLE SECURITIES FRAUD CHARGES

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION July 30, 2012 The Securities and Exchange Commission (Commission) announced today that Lo...
Thursday, June 28, 2012

SEC CHARGES EQUITY RESEARCHER WITH INSIDER TRADING

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., June 26, 2012 — The Securities and Exchange Commission today charged Tai N...
Saturday, June 23, 2012

SEC CHARGES MASSACHUSETTS INVESTMENT ADVISER WITH FRAUD AND OBTAINS ASSET FREEZE

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FROM:  SECURITIES AND EXCHANGE COMMISSION June 20, 2012 The Securities and Exchange Commission announced today that it has charged Gary J....
Friday, May 18, 2012

SEC CHARGED HAWAII RESIDENT WITH BOILERROOM BUSINESS

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FROM:  SECURITIES AND EXCHANGE COMMISSION Washington, D.C., May 16, 2012 — The Securities and Exchange Commission today charged a Hawaii re...
Sunday, April 29, 2012

SEC OBTAINS AN ASSET FREEZE TO STOP ALLEN WEINTRAUB FROM PURPORTEDLY SELLING PRE-IPO FACEBOOK SHARES

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FROM:  SEC April 24, 2012 On April 4, 2012, the U.S. District Court for the Southern District of Florida in Miami issued an Order to Sh...
Tuesday, April 24, 2012

ALLEGEDLY ROBOTS ARE SMARTER THAN PEOPLE WHEN IT COMES TO SECURITIES FRAUD

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FROM:  SEC April 20, 2012 Securities and Exchange Commission v. Thomas Edward Hunter and Alexander John Hunter,  Civil Action No. 12-CV...
Tuesday, January 10, 2012

SEC ALLEGES THREE FORMER "WELLCARE" EXECS IMPROPERLY RETAINED $40 MILLION

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The following excerpt is from the SEC website: “On January 9, 2012, the Securities and Exchange Commission (“Commission”) filed a civil in...
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Friday, December 16, 2011

SEC CHARGES FORMER EXECUTIVES AT FANNIE MAE AND FREDDIE MAC WITH SECUITIES FRAUD

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The following excerpt is from the Securities and Exchange Commission website: “Washington, D.C., Dec. 16, 2011 — The Securities and Exchan...
Wednesday, October 19, 2011

CITIGROUP TO PAY $185 MILLION TO SETTLE CHARGES

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The following excerpt is from the SEC website: “Washington, D.C., Oct. 19, 2011 – The Securities and Exchange Commission today charge...
Thursday, October 13, 2011

SPEECH BY MARY SCHAPIRO AT OCTOBER 12, 2011 OPEN MEETING OF THE SEC

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The following excerpt is from the SEC website: SEC Chairman Mary Schapiro U.S. Securities and Exchange Commission Washington, D.C. O...
Friday, October 7, 2011

FIRM AND TOP MANAGEMENT CHARGED BY SEC FOR VIOLATING ANTI-FRAUD PROVISIONS OF THE SECURITIES LAWS

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The following is an excerpt from the SEC website: “On October 4, 2011, the Securities and Exchange Commission (SEC) filed a complaint...