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.

Friday, January 4, 2013

COMPANY SANCTIONED BY CFTC FOR NOT PROPERLY SUPERVISING EMPLOYEES

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FROM: U.S. COMMODITY FUTURES TRADING COMMISSION Chicago-Based R.J. O’Brien & Associates, LLC Sanctioned $300,000 for Supervision...
Thursday, January 3, 2013

A FAILURE TO TO NOT MISREPRESNET

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission announced today the resolution of an enforcemen...
Wednesday, January 2, 2013

President Obama Makes a Statement | The White House

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President Obama Makes a Statement | The White House
Sunday, December 30, 2012

ADDITIONAL CHARGES BROUGHT AGAINST TWO BROKERS IN INSIDER TRADING CASE INVOLVING IBM ACQUISITION OF SPSSI NC..

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., Dec. 26, 2012 — The Securities and Exchange Commission today announ...
Saturday, December 29, 2012

A CASE OF FAILING TO SUPERVISE MARKET MANIPULATING TRADERS

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., Dec. 18, 2012 — The Securities and Exchange Commission today charged...
Friday, December 28, 2012

WHAT ABOUT BENEFICIAL OWNERSHIP REPORTING REQUIREMENTS

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION SEC Charges Former Chairman of Board In Connection With A Fraudulent Plan To Evade The...
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