Showing posts with label MISAPPROPRIATION OF FUNDS. Show all posts
Showing posts with label MISAPPROPRIATION OF FUNDS. Show all posts
Sunday, September 20, 2015

CALIFORNIA MAN CHARGED BY CFTC WITH FRAUD RELATED TO PRECIOUS METALS

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  September 11, 2015 CFTC Charges California Resident Hannes Tulving, Jr., through his ...
Thursday, April 2, 2015

MAN RECEIVES LIFETIME BAN FROM COMMODITIES INDUSTRY FOR ROLE IN COMMODITY POOL FRAUD

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FROM:  COMMODITY FUTURES TRADING COMMISSION  March 27, 2015 Federal Court in South Carolina Imposes Lifetime Ban from Commodities Indus...
Monday, March 2, 2015

SEC CHARGES CO. AND EXECS. WITH TAKING FUNDS FROM INVESTORS TO DEFEND AGAINST UNRELATED LAWSUIT

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Litigation Release No. 23203 / February 20, 2015 Securities and Exchange Commission v. ...
Sunday, December 21, 2014

SEC FILES FRAUD CHARGES AGAINST INVESTMENT ADVISER TO PRO ATHLETES

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23155 / December 11, 2014 Securities and Exchange Commission v. B...
Friday, March 28, 2014

CFTC FILES CHARGES FOR OPERATING PONZI SCHEME AGAINST TWO SOUTH CAROLINA RESIDENTS

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FROM:  COMMODITY FUTURES TRADING COMMISSION  CFTC Charges South Carolina Residents Robert S. and Amy L. Leben with Commodity Pool Fraud for...
Wednesday, February 5, 2014

BROKER SETTLES ALLEGED MISREPRESENTATION/FUNDS MISAPPROPRIATIONS CASE

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FROM:  SECURITIES AND EXCHANGE COMMISSION  Court Enters Final Judgment Against Broker in Settlement of Claims Arising from Fraudulent Misr...