Showing posts with label INVESTMENT ADVISORY FIRM. Show all posts
Showing posts with label INVESTMENT ADVISORY FIRM. Show all posts
Monday, June 29, 2015

SEC ACCUSES FORMER PRESIDENT INVESTMENT ADVISORY FIRM WITH STEALING CLIENT FUNDS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  06/15/2015 02:20 PM EDT The Securities and Exchange Commission announced fraud charges ...
Sunday, February 15, 2015

SEC ANNOUNCES CHARGES, ASSET FREEZE AGAINST UTAH RESIDENT AND INVESTMENT ADVISORY FIRM

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23188 / February 5, 2015 Securities and Exchange Commission v. To...
Tuesday, December 16, 2014

SEC ANNOUNCES FRAUD CHARGES AGAINST INVESTMENT ADVISORY FIRM AND CO-OWNERS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  12/10/2014 01:30 PM EST The Securities and Exchange Commission announced fraud charges ...
Thursday, February 27, 2014

SEC BRINGS CHARGES IN MISALLOCATION OF EXPENSES SCHEME

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today announced charges against an Arizona-based pr...
Saturday, October 12, 2013

JUDGEMENT OBTAINED IN CASE INVOLVING DUMPING OF LOSING TRADES UPON CLIENTS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SEC Obtains Judgments By Consent Against Charles J. Dushek, Charles S. Dushek, and Capital ...
Thursday, October 20, 2011

MAN AND HIS INVESTMENT FIRM ACCUSED OF FRAUD BY SEC

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The following excerpt is from the SEC website: "On October 18, 2011, the Securities and Exchange Commission filed a civil injunc...