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 PRIME BROKER. Show all posts
Showing posts with label PRIME BROKER. Show all posts
Tuesday, July 14, 2015

OZ MANAGEMENT LP TO PAY $4.25 MILLION PENALTY TO SETTLE CHARGES FOR MISIDENTIFYING TRADES

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION 07/14/2015 10:00 AM EDT The Securities and Exchange Commission today charged OZ Managemen...
Sunday, March 24, 2013

HOUSTON-BASED HEDGE FUND MANAGER ACCUSED OF DEFRAUDING INVESTORS

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., March 22, 2013 — The Securities and Exchange Commission today annou...
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