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.

Tuesday, January 21, 2014

COURT ORDERS $1.5 MILLION IN SANCTIONS IN FOREX FRAUD CASE

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FROM:  COMMODITY FUTURES TRADING COMMISSION  Federal Court in Texas Orders $1.5 Million in Sanctions against Defendant Mark E. Rice for Fra...
Monday, January 20, 2014

EXECUTIVES CHARGED BY SEC WITH FALSIFYING FINANCIAL RECORDS

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FROM:  SECURITIES AND EXCHANGE COMMISSION  SEC Charges Former Senior Executives of Public Company Subsidiary with Falsifying Financial Rec...
Sunday, January 19, 2014

BURGER KING STOCK INSIDE TRADER ORDERED TO PAY $5.6 MILLION

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FROM:  SECURITIES AND EXCHANGE COMMISSION  Former Stockbroker Ordered to Pay $5.6 Million for Insider Trader in Burger King Stock The Sec...
Saturday, January 18, 2014

TWO COMPANIES TO PAY $500,000 FOR CALL COTTON REPORTING VIOLATIONS

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FROM:  COMMODITY FUTURES TRADING COMMISSION  CFTC Orders Multigrain SA and Agricola Xingu SA to Pay $500,000 for Call Cotton Reporting Viol...
Friday, January 17, 2014

FINAL JUDGEMENTS ENTERED FOR ALLEGED INSIDER TRADING OF NON-PUBLIC INFORMATION

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FROM:  SECURITIES AND EXCHANGE COMMISSION  Court Enters Final Judgment Against Officer, Broker and Relief Defendant Broker-Dealer in Settle...
Thursday, January 16, 2014

COURT ORDERS INTRODUCING BROKER TO PAY FINE FOR RECORD-KEEPING VIOLATIONS

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FROM:  COMMODITY FUTURES TRADING COMMISSION  Federal Court in Illinois Orders Chicago-based Introducing Broker New World Holdings, LLC to P...
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