Showing posts with label FALSE STATEMENTS. Show all posts
Showing posts with label FALSE STATEMENTS. Show all posts
Friday, January 16, 2015

SEC ANNOUNCES CHARGES AGAINST ATTORNEYS AND AUDITORS IN SHAM STOCK OFFERINGS CASE

›
FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today announced charges against attorneys, audit...
Thursday, November 6, 2014

SEC CHARGES MICHIGAN CITY, FORMER LEADERS WITH FRAUD INVOLVING MUNI BOND OFFERING

›
FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission announced fraud charges today against the City of ...
Friday, February 28, 2014

ATTORNEY SETTLES CLAIMS HE MADE FALSE AND MISLEADING STATEMENTS TO INVESTORS

›
FROM:  SECURITIES AND EXCHANGE COMMISSION  SEC Settles Claims Against Attorney Retained by Funds Involved in Fraudulent Investment Scheme ...
Thursday, February 20, 2014

CFTC CHARGES TWO MEN WITH MISAPPROPRIATION OF OVER $1.6 MILLION

›
FROM:  COMMODITY FUTURES TRADING COMMISSION  CFTC Charges Ron Earl McCullough and David Christopher Mayhew with Fraudulent Solicitation, Fa...
Wednesday, November 27, 2013

FINAL JUDGEMENT ENTERED FINAL JUDGEMENT AGAINST DEFENDANT FOR ALLEGEDLY MISLEADING INVESTORS

›
FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Court Enters Final Judgment by Consent Against SEC Defendant Corey Ribotsky The Securitie...
Monday, July 22, 2013

SEC CHARGES CITY OF MIAMI WITH SECURITIES FRAUD

›
FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission charged the City of Miami and its former Budget ...
Friday, March 22, 2013

MAN AND COMPANY ORDERED TO PAY $840,000 FOR SOLICITATION FRAUD AND MAKING FALSE STATEMENTS

›
FROM: COMMODITY FUTURES TRADING COMMISSION Federal Court Orders Oregon-based System Capital, LLC and its President Joshua Wallace to...
Thursday, March 22, 2012

FORMER CFO TBW PLEADS GUILTY TO FRAUD

›
The following excerpt is from the Department of Justice website: Tuesday, March 20, 2012 WASHINGTON – Delton de Armas, a former chief ...
Monday, February 6, 2012

REAL ESTATE FUND MANAGER PERMANENTLY BARRED FROM THE SECURITIES INDUSTRY

›
The following excerpt is from the SEC website:  February 2, 2012 "On December 14, 2011, the Honorable Cathy Seibel, United States ...