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 MISAPPROPRIATION OF CLIENT FUNDS. Show all posts
Showing posts with label MISAPPROPRIATION OF CLIENT FUNDS. 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 ...
Friday, March 23, 2012

SEC COMPLAINT ALLEGES FRAUD SCHEME TO MISAPPROPRIATE CLIENT FUNDS

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The following excerpt is from the SEC website: March 22, 2012 The Securities and Exchange Commission (“Commission”) today announced th...
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