Showing posts with label MISLEADING STATEMENTS. Show all posts
Showing posts with label MISLEADING STATEMENTS. Show all posts
Thursday, November 6, 2014

SEC CHARGES MICHIGAN CITY, FORMER LEADERS WITH FRAUD INVOLVING MUNI BOND OFFERING

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission announced fraud charges today against the City of ...
Thursday, April 24, 2014

SEC FILES ACTION AGAINST IMPRISONED FORMER STOCK PROMOTER

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FROM:  SECURITIES AND EXCHANGE COMMISSION  SEC Files Action Against Former Stock Promoter Now in Prison for Lying to SEC Investigators ...
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 ...
Sunday, November 10, 2013

COMMODITY POOL OPERATOR GETS RESTRAINING ORDER FOR ALLEGEDLY MISAPPROPRIATING POOL FUNDS

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FROM:  COMMODITY FUTURES TRADING COMMISSION CFTC Obtains Restraining Order against Commodity Pool Operator and Commodity Trading Advisor, A...
Friday, September 27, 2013

ATLANTA-AREA DEFENDANTS CHARGED BY SEC WITH SECURITIES FRAUD

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SEC Charges Atlanta-Area Defendants with Securities Fraud On September 23, 2013, the Secu...
Wednesday, August 28, 2013

SEC SETTLES FINANCIAL CRISIS FRAUD CHARGES WITH COO OF UCBH HOLDINGS, INC.

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FROM:  SECURITIES EXCHANGE COMMISSION  SEC Settles Claims Against Ebrahim Shabudin Arising from Understated Bank Losses During Financial Cr...
Monday, July 22, 2013

SEC CHARGES CITY OF MIAMI WITH SECURITIES FRAUD

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission charged the City of Miami and its former Budget ...
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...
Thursday, July 5, 2012

SEC CHARGES GOLD STANDARD MINING CORP. AND OTHERS FOR FALSE AND MISLEADING STATEMENTS

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FROM:  U.S. SECURITES AND EXCHANGE COMMISSION July 3, 2012 On June 29, 2012, the Securities and Exchange Commission filed a civil action i...