WALL STREET FRAUDSTERS

This is a look at Wall Street fraudsters via excerpts from various U.S. government web sites such as the SEC, FDIC, DOJ, FBI and CFTC.

Showing posts with label CLIENT PERFORMANCE FEES. Show all posts
Showing posts with label CLIENT PERFORMANCE FEES. Show all posts
Monday, September 12, 2011

SEC FILES CIVIL INJUNCTION AGAINST INVESTMENT ADVISOR AND PRINCIPAL FOR MISREPRESENTATIONS REGARDING THE FOREX MARKET

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The following excerpt is from the SEC website: “The Securities and Exchange Commission announced that, on September 8, 2011, it fil...
Tuesday, July 12, 2011

SEC WILL USE INFLATION GUIDE TO DETERMINE WHEN ADVISERS CAN CHARGE CLIENTS PERFORMANCE FEES

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The following is an excerpt from the SEC website: “Washington, D.C., July 12, 2011 – The Securities and Exchange Commission today is...
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