Showing posts with label INVESTMENT FRAUD. Show all posts
Showing posts with label INVESTMENT FRAUD. Show all posts
Thursday, May 7, 2015

MICHIGAN RESIDENT RECEIVES PRISON SENTENCE FOR DEFRAUDING INVESTORS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23250 / April 30, 2015 Securities and Exchange Commission v. Joel I....
Wednesday, November 26, 2014

SEC SUSPENDS TRADING IN EBOLA RELATED COMPANIES

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  11/20/2014 10:30 AM EST The Securities and Exchange Commission suspended trading in four ...
Friday, February 28, 2014

ATTORNEY SETTLES CLAIMS HE MADE FALSE AND MISLEADING STATEMENTS TO INVESTORS

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FROM:  SECURITIES AND EXCHANGE COMMISSION  SEC Settles Claims Against Attorney Retained by Funds Involved in Fraudulent Investment Scheme ...
Thursday, December 19, 2013

SEC ANNOUNCES PRISON TERM AND RESTITUTION PAYMENT ORDER FOR INVESTMENT ADVISOR

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Massachusetts Investment Adviser Sentenced to 36 Months in Jail for Defrauding Investors ...
Friday, November 22, 2013

THREE SENTENCED FOR ROLES IN $1 BILLION HIGH-YIELD INVESTMENT FRAUD

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FROM:  U.S. JUSTICE DEPARTMENT  Wednesday, November 20, 2013 Three Investment Advisors Sentenced in California for $1 Billion High-yield I...
Sunday, September 29, 2013

SEC ANNOUNCES CHARGES AGAINST 10 FORMER BROKERS IN $125 MILLION INVESTMENT SCHEME

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today announced charges against 10 former brokers a...
Wednesday, March 21, 2012

OWNER, EXECUTIVES AND BCI AIRCRAFT LEASING INC., ALL CONVICTED OF FRAUD

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The following excerpt is from the Securities and Exchange Commission website: March 20, 2012 The Securities and Exchange Commission (“...
Thursday, March 8, 2012

FORMER BOARD CHAIRMAN ALLEN STANFORD CONVICTED OF INVESTMENT FRAUD

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The following excerpt is from the Department of Justice website: Tuesday, March 6, 2012 "Allen Stanford Convicted in Houston for Orc...
Monday, October 10, 2011

INVESTMENT ADVISOR TO PAY FOR FRAUDULENT MISREPRESENTATIONS

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The following is an excerpt from the SEC website: September 29, 2011 ‘The Securities and Exchange Commission announced today that, o...
Wednesday, July 20, 2011

SEC CHARGES MAN AND FIRMS WITH MISAPPROPRIATING $8.7 MILLION DOLLARS

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The following is an excerpt from the SEC website: July 12, 2011 The Securities and Exchange Commission today charged Sam Otto Folin...
Sunday, June 5, 2011

SEC MAKES CHARGES MAM WEALTH MANAGEMENT WITH FRAUD

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On the Securities and Exchange Commission web site the SEC announced it has filed investment fraud charges as follows: “U.S. Securities an...
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Sunday, September 12, 2010

SEC CHARGES SKIN CARE COMPANY CFO WITH COOKING THE BOOKS

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Fraud is so common in the American investment community that it is a wonder that the DJIA trades above 1,000 points. Financial statements a...