Showing posts with label ASSET FREEZE. Show all posts
Showing posts with label ASSET FREEZE. Show all posts
Sunday, February 15, 2015

SEC ANNOUNCES CHARGES, ASSET FREEZE AGAINST UTAH RESIDENT AND INVESTMENT ADVISORY FIRM

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23188 / February 5, 2015 Securities and Exchange Commission v. To...
Friday, May 9, 2014

SEC BRINGS FRAUD CHARGES AGAINST INVESTMENT ADVISORY FIRM, EXECUTIVES FOR FALSIFYING PERFORMANCE RESULTS

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FROM:  U.S SECURITIES AND EXCHANGE COMMISSION  May 8, 2014 The Securities and Exchange Commission today announced fraud charges and an a...
Thursday, February 6, 2014

SEC OBTAINS ASSET FREEZE AGAINST ALLEGED FRAUDSTER

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SEC Obtains Asset Freeze and Other Relief Against Michael P. Zenger On January 31, 2014...
Sunday, May 26, 2013

TRADER GETS BUSTED BY SEC FOR PLACEMENT OF OWN TRADES BEFORE THOSE OF CLIENTS

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION   Washington, D.C., May 24, 2013 — The Securities and Exchange Commission today announ...
Tuesday, April 2, 2013

CFTC CHARGES NORTH CAROLINA RESIDENT CHARGED WITH COMMODITY POOL FRAUD

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FROM: COMMODITY FUTURES TRADING COMMISSION FOREX CFTC Charges North Carolina Resident James Harvey Mason with Commodity Pool Fraud ...
Friday, February 22, 2013

ASSET FREEZE ANNOUNCED BECAUSE OF SUSPICIOUS TRADING AHEAD OF H.J. HEINZ ACQUISITION

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., Feb. 15, 2013 — The Securities and Exchange Commission today obtaine...
Friday, November 23, 2012

"SKY-HIGH" YIELDS, SECRET EUROPEAN TRUST AND, SEC CHARGES OF INVESTOR FRAUD

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., Nov. 19, 2012 — The Securities and Exchange Commission today charged...
Thursday, September 1, 2011

SEC ANNOUNCES ASSET FREEZE AGAINST MONEY MANAGER AND HEDGE FUND ADVISORY FIRM

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The following excerpt is from the SEC website: Washington, D.C., August 31, 2011 – The Securities and Exchange Commission tod...
Saturday, June 11, 2011

SEC GETS EMERGENCY ASSET FREEZE AGAINST THE ASSOCIATION FOR BETTERMENT THROUGH EDUCATION AND LOVE INC.

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Unauthorized securities is something that the SEC frowns on a great deal. In the following case a charity like entity ran a fowl of the SEC...