Showing posts with label SECURITIES FRAUD. Show all posts
Showing posts with label SECURITIES FRAUD. Show all posts
Friday, September 4, 2015

THREE INDICTED IN ALLEGED $54 MILLION "GREEN ENERGY" FRAUD

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FROM:  U.S. JUSTICE DEPARTMENT  Thursday, September 3, 2015 Indictment Charges Three People with Running $54 Million “Green Energy” Pon...
Friday, May 29, 2015

DEFENDANT IN INSIDER TRADING CASE INVOLVING AMATEUR GOLFERS PLEADS GUILTY

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Litigation Release No. 23264 / May 18, 2015 Securities and Exchange Commission v. Eric ...
Monday, April 6, 2015

SEC ANNOUNCES COURT IMPOSED JUDGEMENT OF $55 MILLION AGAINST INVESTMENT ADVISER CEO

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Litigation Release No. 23228 / April 2, 2015 Securities and Exchange Commission v. Char...
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...
Friday, October 17, 2014

SEC ANNOUNCES JURY FINDS FORMER CHAIRMAN FAILED START-UP, LIABLE FOR SECURITIES FRAUD

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23112 / October 15, 2014 Securities and Exchange Commission v. iS...
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...
Wednesday, September 10, 2014

MORTGAGE-BACKED SECURITIES DEALER SENTENCED TO PRISON

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Connecticut-Based Broker-Dealer Representative Sentenced to Two Years in Prison for Defra...
Sunday, June 29, 2014

SEC ANNOUNCES FRAUD CHARGES IN LOAN FALSE CLASSIFICATION CASE

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission announced fraud charges against three former seni...
Monday, June 16, 2014

FINAL "PAY TO PLAY" RETIREMENT FUND DEFENDANT CHARGED BY SEC

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Final Defendant Settles SEC Fraud Charges in "Pay to Play" Case Involving New Yor...
Tuesday, June 3, 2014

FORMER ARTHROCARE CORPORATION CEO, CFO CONVICTED FOR ROLES IN $400 MILLION SECURITIES FRAUD

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FROM:  U.S. JUSTICE DEPARTMENT  Monday, June 2, 2014 Former CEO and CFO of Arthrocare Corporation Convicted for Orchestrating $400 Mill...
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Sunday, February 16, 2014

CONNECTICUT-BASED FUND MANAGER LOSES JURY TRIAL IN CASE INVOLVING PETTERS PONZI SCHEME

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FROM:  SECURITIES AND EXCHANGE COMMISSION SEC Wins Jury Trial Against Connecticut-Based Fund Manager Who Facilitated Petters Ponzi Scheme ...
Monday, January 27, 2014

MAN SENTENCED TO PRISON FOR ROLE IN PONZI SCHEME

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FROM:  SECURITIES AND EXCHANGE COMMISSION  Massachusetts Resident Steven Palladino Sentenced to 10-12 Years in Prison for Role in Multi-Mi...
Sunday, November 24, 2013

FORMER BROKER SENT TO PRISON FOR FOGUE TRADES

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Former Rochdale Securities Broker Sentenced to 30 Months' Imprisonment for Rogue Trades...
Saturday, November 2, 2013

SEC ANNOUNCES SENTENCE OF ANDREW FRANZ RELATING TO MISAPPROPRIATION OF CLIENT FUNDS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Commission announced that on October 23, 2013, the Honorable Christopher A. Boyko s...
Saturday, July 20, 2013

TWO FORMER EXECUTIVES OF ARTHROCARE CORP. CHARGED FOR ROLES IN $400 MILLION SECURITIES FRAUD

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Wednesday, July 17, 2013 Former CEO and Former CFO of ArthroCare Corp. Charged with Orches...
Monday, March 11, 2013

STATE OF ILLINOIS CHARGED WITH SECURITIES FRAUD

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., March 11, 2013 — The Securities and Exchange Commission today charged t...
Sunday, December 23, 2012

SEC SETTLES PENDING CIVIL FRAUD CHARGES AGAINST THREE FORMER EXECUTIVES OF ENRON BROADBAND SERVICES

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission announced today that former Enron senior vice pr...
Saturday, December 8, 2012

MAN PLEADS GUILTY IN SECURITEIS FRAUD CASE AND IS BARRED FROM SECURITIES INDUSTRY

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FROM:    U.S. SECURITIES AND EXCHANGE COMMISSION December 4, 2012 Defendant in SEC Action Pleads Guilty to Criminal Charges and is...
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Thursday, August 16, 2012

COURT ENTERS FINAL JUDGMENT AGAINST ALERO ODELL MACK, JR.

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION The U.S. Securities and Exchange Commission announced today that on August 7, 2012, th...
Monday, June 25, 2012

FORMER EXECS FAIR FINANCIAL COMPANY CONVICTED IN $200 MILLION FRAUD SCHEME

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FROM:  U.S. DEPARTMENT OF JUSTICE  Thursday, June 21, 2012 Three Former Executives Convicted for Roles in $200 Million Fraud Scheme Involv...