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 INVESTMENT ADVISOR. Show all posts

Showing posts with label INVESTMENT ADVISOR. Show all posts

Friday, August 12, 2016

ALLEGED FALSE CLAIMS LEADS TO SEC FRAUD CHARGES AGAINST INVESTMENT ADVISER

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

Tuesday, July 14, 2015

OZ MANAGEMENT LP TO PAY $4.25 MILLION PENALTY TO SETTLE CHARGES FOR MISIDENTIFYING TRADES

FROM: U.S. SECURITIES AND EXCHANGE COMMISSION 07/14/2015 10:00 AM EDT The Securities and Exchange Commission today charged OZ Managemen...

Friday, September 6, 2013

SEC ALLEGES INVESTMENT ADVISORY FIRM AND ITS PRESIDENT PLAYED FAVORITES WITH CLIENTS

FROM: U.S. SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission today announced charges against a San Diego-based in...

Thursday, September 5, 2013

SEC SANCTIONS FORMER PORTFOLIO MANAGER

FROM: U.S. SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission today sanctioned a former portfolio manager at a Bo...

Saturday, June 15, 2013

DETROIT INVESTMENT ADVISER CHARGED BY SEC WITH STEALING ALMOST $3.1 MILLION

FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., June 10, 2013 — The Securities and Exchange Commission today charg...

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