Showing posts with label INVESTMENT ADVISER. Show all posts
Showing posts with label INVESTMENT ADVISER. Show all posts
Monday, July 20, 2015

SEC CHARGES NON-REGISTERED INVESTMENT ADVISER WITH STEALING CLIENT'S MONEY

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  07/16/2015 02:05 PM EDT The Securities and Exchange Commission charged a purported inve...
Saturday, June 20, 2015

SEC CHARGES MUTUAL FUND ADVISER'S BOARD MEMBERS WITH FAILING TO HAVE PROPER OVERSIGHT

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION 06/17/2015 12:55 PM EDT The Securities and Exchange Commission charged a mutual fund advis...
Friday, June 5, 2015

INVESTMENT ADVISER TO PAY OVER $1 MILLION TO ONCLUDE FRAUD CASES WITH SEC

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Litigation Release No. 23273 / June 1, 2015 Securities and Exchange Commission v. Sage ...
Monday, April 6, 2015

SEC ANNOUNCES COURT IMPOSED JUDGEMENT OF $55 MILLION AGAINST INVESTMENT ADVISER CEO

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Litigation Release No. 23228 / April 2, 2015 Securities and Exchange Commission v. Char...
Wednesday, February 25, 2015

SEC CHARGED BROKERAGE FIRM AND CEO OF FRAUD INVOLVING CDO AUCTIONS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  02/19/2015 11:00 AM EST The Securities and Exchange Commission charged a New York City-...
Friday, February 13, 2015

SEC ALLEGES INVESTMENT ADVISER KEPT CUSTODIAL FUNDS WITH BROKER-DEALER COUNTERPARTIES

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission  charged an investment adviser to several alterna...
Saturday, January 31, 2015

HEDGE FUND MANAGER RECEIVES 13 YEAR PRISON TERM FOR FRAUD

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23185 / January 30, 2015 Securities and Exchange Commission v. Fr...
Sunday, December 21, 2014

SEC FILES FRAUD CHARGES AGAINST INVESTMENT ADVISER TO PRO ATHLETES

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23155 / December 11, 2014 Securities and Exchange Commission v. B...
Sunday, August 31, 2014

VERDICT RETURNED AGAINST INVESTMENT ADVISER IN FRAUD CASE

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Jury Returns Verdict Against Massachusetts Investment Adviser in SEC Fraud Case The Sec...
Thursday, January 30, 2014

INVESTMENT ADVISOR CONCEALS LOSSES AND GETS SANCTIONED

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FROM:  SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission announced sanctions against a California-based investmen...
Tuesday, December 31, 2013

INVESTMENT ADVISER AND OWNER RECEIVE PERMANENT INJUNCTIONS FOR ROLES IN ALLEGED FRAUD

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SEC Obtains Order of Permanent Injunctions Against Chicago-Area Investment Adviser and Its ...
Sunday, December 8, 2013

U.S. DISTRICT COURT ISSUES FINAL JUDGEMENT AGAINST INVESTMENT ADVISER

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SEC Obtains Final Judgment Against Massachusetts-Based Broker and Investment Adviser The ...
Sunday, July 14, 2013

CRIMINAL CHARGES FILED AGAINST MASSACHUSETTS INVESTMENT ADVISER

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Criminal Charges Filed Against Massachusetts Investment Adviser For Defrauding Investor...
Monday, May 27, 2013

INVESTMENT ADVISER CHARGED BY SEC WITH MISAPPROPRIATING INVESTOR FUNDS

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FROM: U.S. SECURITY AND EXCHANGE COMMISSION SEC Charges Atlanta-Area Registered Representative and Registered Investment Adviser Repre...
Monday, September 24, 2012

SEC CHARGES INVESTMENT ADVISER OF RUNNING $37 MILLION PONZI SCHEME

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission today filed fraud charges against a Portland, ...
Thursday, June 14, 2012

INVESTMENT ADVISER BUSINESS AND OWNER ACCUSED OF TAKING CLIENTS FUNDS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION June 11, 2012 SEC Charges Atlanta Investment Advisor and its Owner for Misappropriating Cli...
Friday, June 1, 2012

ALLEGED INVESTMENT ADVISER CONFLICT OF INTEREST

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FROM: U.S.  SECURITIES AND EXCHANGE COMMISSION Washington, D.C., May 30, 2012 – The Securities and Exchange Commission today charged a Phoe...
Sunday, February 26, 2012

COURT FINES INVESTMENT ADVISER $2.5 MILLION FOR MISREPRESENTATIONS

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The following excerpt is from the SEC website: February 23, 2012 FEDERAL COURT ENTERS ORDER IMPOSING $2.5 MILLION CIVIL PENALTY AGAIN...
Thursday, August 11, 2011

SEC ALLEGES INVESTMENT ADVISER AND OTHERS WITH FRAUD

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The following is an excerpt from the SEC website: August 2, 2011 “The Securities and Exchange Commission today announced that ...