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 FUND MANAGER. Show all posts
Showing posts with label FUND MANAGER. Show all posts
Sunday, January 4, 2015

SEC ALLEGES FUND MANAGERS & FIRM DIVERTED INVESTOR MONEY TO HELP SIDE BUSINESS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission announced charges against three fund managers and ...
Sunday, February 16, 2014

CONNECTICUT-BASED FUND MANAGER LOSES JURY TRIAL IN CASE INVOLVING PETTERS PONZI SCHEME

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FROM:  SECURITIES AND EXCHANGE COMMISSION SEC Wins Jury Trial Against Connecticut-Based Fund Manager Who Facilitated Petters Ponzi Scheme ...
Tuesday, May 7, 2013

COURT ORDERS HEDGE FUND MANAGER AND ADVISORY FIRMS TO PAY MORE THAN $26 MILLION

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Court Orders Former Hedge Fund Manager Gad Grieve and Firm to Pay Over $26 Million in ...
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