Showing posts with label MISAPPROPRIATION OF CUSTOMER FUNDS. Show all posts
Showing posts with label MISAPPROPRIATION OF CUSTOMER FUNDS. Show all posts
Friday, May 1, 2015

CFTC CHARGES ALLEGED FLORIDA PONZI SCHEME OPERATOR WITH FRAUD AND REGISTRATION VIOLATIONS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION April 20, 2015 CFTC Charges Florida Resident Dorian A. Garcia and his Companies, DG Wealth...
Tuesday, March 4, 2014

SEC ALLEGES FORMER REGISTERED REPRESENTATIVE STOLE FROM INVESTOR'S ACCOUNT

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FROM:  SECURITIES AND EXCHANGE COMMISSION SEC Charges Former Registered Representative with Fraud The Securities and Exchange Commission ...
Thursday, February 20, 2014

CFTC CHARGES TWO MEN WITH MISAPPROPRIATION OF OVER $1.6 MILLION

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FROM:  COMMODITY FUTURES TRADING COMMISSION  CFTC Charges Ron Earl McCullough and David Christopher Mayhew with Fraudulent Solicitation, Fa...
Friday, February 8, 2013

COURT ORDERS $22.8 MILLION IN SANCTIONS AND RESTITTION IN INVESTMENT FRAUD CASE

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FROM: U.S. COMMODITY FUTURES TRADING COMMISSION Federal Court in Florida Imposes over $22.8 Million in a Monetary Sanction and Resti...
Sunday, January 8, 2012

COURT GIVES SUMMARY JUDGEMENT AGAINST MISAPPROPRIATOR OF INVESTOR FUNDS

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The following excerpt is from the SEC website: “The Securities and Exchange Commission announced that on December 29, 2011, the United Sta...
Saturday, September 17, 2011

CFTC ANNOUNCED FEDERAL COURT FREEZES ASSETS OF ALLEGED COMMODITY SCHEME FRAUDSTERS

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September 9, 2011 The following is an excerpt from the CFTC website: “Washington, DC – The U.S. Commodity Futures Trading Commissio...
Friday, August 26, 2011

DEFENDANT AND MANAGED COMPANIES CHARGED IN COMMODITY FUTURES AND FOREX SCHEME

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The following excerpt is from the CFTC website: “Washington, DC - The U.S. Commodity Futures Trading Commission (CFTC) today an...