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 MICROCAP COMPANY. Show all posts
Showing posts with label MICROCAP COMPANY. Show all posts
Monday, August 3, 2015

STOCK PRICE SPIKE INDICATED STOCK RISE SCAM ACCORDING TO SEC

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  07/31/2015 04:30 PM EDT The Securities and Exchange Commission charged a Canadian citiz...
Wednesday, April 1, 2015

DAY-TRADER CHARGED FOR ROLE IN MANIPULATION STOCK PRICES TO OBTAIN NASDAQ LISTING

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23224 / March 27, 2015 Securities and Exchange Commission v. Mich...
Monday, July 21, 2014

SEC ANNOUNCES FRAUD CHARGES AGAINST ALLEGED "RECIDIVIST" VIOLATORS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission  announced fraud charges against four individual...
Saturday, July 19, 2014

SEC ANNOUNCES $1.5 MILLION IN DISGORGEMENT, PENALTIES FROM INVESTMENT ADVISER AND OWNER

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FROM:  SECURITIES AND EXCHANGE COMMISSION  SEC Obtains an Officer and Director Bar and Over $1.5 Million in Disgorgement and Penalties fr...
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