Showing posts with label FRAUD. Show all posts
Showing posts with label FRAUD. Show all posts
Monday, June 21, 2021

SEC.gov | SEC Obtains Asset Freeze Against Offshore Fund and Its Operators

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SEC.gov | SEC Obtains Asset Freeze Against Offshore Fund and Its Operators SEC finds yet another scheme to defraud investors.  
Wednesday, September 14, 2016

THE WANING OF THE WHIZ

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Press Release PrintFacebookTwitterEmailShare “Stock Trading Whiz Kid” to Pay $1.5 Mill...
Thursday, August 18, 2016

FORMER HEAD RMBS TRADER AT GOLDMAN SACHS SETTLES FRAUD CHARGES

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Former Goldman Sachs Trader Settles Fraud Charges FOR IMMEDIATE RELEASE 2016-163 W...
Friday, August 12, 2016

ALLEGED FALSE CLAIMS LEADS TO SEC FRAUD CHARGES AGAINST INVESTMENT ADVISER

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SEC: Investment Adviser Boasted Phony Assets and Track Record, Stole From Client FOR IM...
Friday, September 4, 2015

THREE INDICTED IN ALLEGED $54 MILLION "GREEN ENERGY" FRAUD

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FROM:  U.S. JUSTICE DEPARTMENT  Thursday, September 3, 2015 Indictment Charges Three People with Running $54 Million “Green Energy” Pon...
Wednesday, August 19, 2015

SEC CHARGES COMPANY FOUNDER WITH SELLING UNREGISTERED SECURITIES IN AN ALLEGED FRAUD SCHEME

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23321 / August 17, 2015 Securities and Exchange Commission v. Env...
Tuesday, August 18, 2015

TWO CITIGROUP AFFILIATES WILL PAY 180 MILLION TO SETTLE FRAUD CHARGES

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Citigroup Affiliates to Pay $180 Million to Settle Hedge Fund Fraud Charges 08/17/2015 ...
Saturday, August 15, 2015

SEC ANNOUNCES SETTLEMENT OF FRAUD CHARGES WITH OWNERS OF RESIDENTIAL, COMMERCIAL REAL ESTATE COMPANY

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  08/13/2015 11:30 AM EDT The Securities and Exchange Commission today announced that thr...
Friday, August 7, 2015

TWO CORPORATE OFFICERS CHARGED WITH INFLATING VALUES OF ENERGY PROPERTIES

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  08/06/2015 10:00 AM EDT The Securities and Exchange Commission today announced charges ...
Friday, July 24, 2015

SEC CHARGES THREE ALLEGED MICROCAP STOCK SCAMMERS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  07/21/2015 02:30 PM EDT The Securities and Exchange Commission charged a trio of allege...
Saturday, July 18, 2015

SEC SAYS TWO DEFENDANTS ADMIT TO TARGETING ASIAN-AMERICAN COMMUNITY IN CKB PYRAMID SCHEME

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Litigation Release No. 23306 / July 17, 2015 Securities and Exchange Commission v. CKB1...
Friday, June 19, 2015

SEC CHARGES TEXAS-BASED OIL COMPANY AND CEO WITH DEFRAUDING INVESTORS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION 06/18/2015 03:00 PM EDT The Securities and Exchange Commission today charged a Texas-based...
Thursday, May 21, 2015

FORMER BOA EXEC SENTENCED TO SERVE 26 MONTHS IN PRISON FOR CONSPIRACY AND FRAUD

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FROM:  U.S. JUSTICE DEPARTMENT FORMER BANK OF AMERICA EXECUTIVE SENTENCED TO SERVE 26 MONTHS IN PRISON FOR ROLE IN CONSPIRACY AND FRAUD...
Sunday, May 10, 2015

SEC FILES FRAUD CHARGES AGAINST FORMER OFFICRS OF WILMINGTON TRUST

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23254 / May 7, 2015 Securities and Exchange Commission v. David R. G...
Friday, May 1, 2015

CFTC CHARGES ALLEGED FLORIDA PONZI SCHEME OPERATOR WITH FRAUD AND REGISTRATION VIOLATIONS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION April 20, 2015 CFTC Charges Florida Resident Dorian A. Garcia and his Companies, DG Wealth...
Wednesday, April 22, 2015

SEC BRINGS FRAUD CHARGES AGAINST COMPANY CONTROLLER IN RECORDS MANIPULATION CASE

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission announced fraud charges against the former control...
Monday, April 20, 2015

SEC CHARGES 23 COMPANIES, 6 INDIVIDUALS FOR ROLES IN CELLULAR LICENSING FRAUD SCHEME

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U.S. SECURITIES AND EXCHANGE COMMISSION  Litigation Release No. 23236 / April 9, 2015 Securities and Exchange Commission v. Janus Spect...
Friday, April 17, 2015

CFTC CHARGES COMPANY AND PRINCIPALS WITH POOL FRAUD

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FROM:  COMMODITY FUTURES TRADING COMMISSION  March 31, 2015 CFTC Charges Maverick International, Inc. and its Principals Wesley Allen B...
Friday, April 10, 2015

SEC CHARGES INVESTMENT ADVISER OF HIDING POOR PERFORMANCE OF LOAN ASSETS IN CLO FUNDS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  03/30/2015 09:45 AM EDT The Securities and Exchange Commission announced fraud charges ...
Sunday, April 5, 2015

SEC BRINGS CHARGES IN CASE INVOLVING ALLEGED MISAPPROPRIATION OF MONEY FROM AN INVESTMENT FUND

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION   Litigation Release No. 23207 / February 26, 2015 Securities and Exchange Commission v....