Showing posts with label MISREPRESENTATIONS. Show all posts
Showing posts with label MISREPRESENTATIONS. Show all posts
Friday, August 12, 2016

ALLEGED FALSE CLAIMS LEADS TO SEC FRAUD CHARGES AGAINST INVESTMENT ADVISER

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SEC: Investment Adviser Boasted Phony Assets and Track Record, Stole From Client FOR IM...
Sunday, October 19, 2014

SEC OBTAINS JUDGEMENT AGAINST DEFENDANTS IN SECURITIES FRAUD CASE

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U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23114 / October 15, 2014 Securities and Exchange Commission v. Stephen D...
Sunday, October 12, 2014

SEC ANNOUNCES THAT PENNY STOCK PROMOTER TO PAY $700,000 IN FRAUD CASE

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23107 / October 8, 2014 Securities and Exchange Commission v. G...
Tuesday, July 22, 2014

SEC CHARGES TWO WITH VIOLATING FEDERAL SECURITIES LAWS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION   SEC Charges Tyson D. Williams and Stanley D. Parrish with Violations of the Federal Secu...
Thursday, January 23, 2014

SEC ANNOUNCES FORMER PORTFOLIO MANAGER BARRED FROM INDUSTRY OVER MISREPRESENTATIONS

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FROM:  SECURITIES AND EXCHANGE COMMISSION  01/22/2014 09:56 AM EST The Securities and Exchange Commission today announced that a former O...
Thursday, December 19, 2013

SEC ANNOUNCES PRISON TERM AND RESTITUTION PAYMENT ORDER FOR INVESTMENT ADVISOR

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Massachusetts Investment Adviser Sentenced to 36 Months in Jail for Defrauding Investors ...
Wednesday, November 20, 2013

FDIC ANNOUNCES SETTLEMENT WITH JP MORGAN CHASE & CO. IN RESIDENTIAL MORTGAGE-BACKED SECURITIES CASE

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FROM:  U.S. FEDERAL DEPOSIT INSURANCE CORPORATION The Federal Deposit Insurance Corporation (FDIC) as Receiver for six failed banks has an...
Sunday, September 29, 2013

SEC ANNOUNCES CHARGES AGAINST 10 FORMER BROKERS IN $125 MILLION INVESTMENT SCHEME

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today announced charges against 10 former brokers a...
Monday, August 12, 2013

SEC ANNOUNCES FINAL JUDGEMENT AGAINST DEFENDANT IN "U TURN" PRICING INFORMATION SCHEME

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FROM:  SECURITIES AND EXCHANGE COMMISSION  SEC Obtains Final Judgment Against Edward O'connor The Securities and Exchange Commission ...
Saturday, April 14, 2012

DEFAULT JUDGMENT ENTERED AGAINST DAVID E. HOWARD II, FLATIRON CAPITAL PARTNERS, LLC, AND FLATIRON SYSTEMS, LLC

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FROM:  SEC  April 11, 2012 DEFAULT JUDGMENT ENTERED AGAINST DAVID E. HOWARD II, FLATIRON CAPITAL PARTNERS, LLC, AND FLATIRON SYSTEMS, L...
Friday, January 6, 2012

SEC FILES INJUNCTION AGAINST BOND SELL AND HIS COMPANY

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"The Securities and Exchange Commission today announced its filing of a civil injunctive action alleging fraud in the offer and sale...
Wednesday, October 26, 2011

SEC OBTAINS ASSET FREEZE CHARGING TEXAS MAN OF LYING TO INVESTORS

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The following excerpt is from the SEC website: “Washington, D.C., Oct. 18, 2011 – The Securities and Exchange Commission today annou...