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.

Monday, March 31, 2014

MORGAN STANLEY SMITH BARNEY LLC SETTLES CFTC CHARGES RELATED TO SEGREGATED AND SECURED FUNDS ALLEGED RULE VIOLATIONS

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FROM:  COMMODITY FUTURES TRADING COMMISSION  CFTC Orders Morgan Stanley Smith Barney LLC to Pay $490,000 to Settle Charges Relating to Rule...
Sunday, March 30, 2014

DEFENDANTS ORDERED TO PAY $2.2 MILLION FOR INVOLVEMENT IN FOREIGN CURRENCY PONZI SCHEME

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FROM:  COMMODITY FUTURES TRADING COMMISSION  An Ohio Federal Court Rules against Defendants in CFTC Fraud Action and Orders Patrick Cole an...
Saturday, March 29, 2014

SUMMARY JUDGEMENT OBTAINED IN MARKET MANIPULATION CASE

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FROM:  SECURITIES AND EXCHANGE COMMISSION  SEC Obtains Summary Judgment Against Defendant Jonathan Curshen in Market Manipulation Case Th...
Friday, March 28, 2014

Keynote Address at the 2014 Angel Capital Association Summit

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Keynote Address at the 2014 Angel Capital Association Summit

CFTC FILES CHARGES FOR OPERATING PONZI SCHEME AGAINST TWO SOUTH CAROLINA RESIDENTS

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FROM:  COMMODITY FUTURES TRADING COMMISSION  CFTC Charges South Carolina Residents Robert S. and Amy L. Leben with Commodity Pool Fraud for...
Thursday, March 27, 2014

SEC CHAIR WHITE'S OPENING STATEMENT AT ROUNDTABLE MEETING ON CYBERSECURITY

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  PUBLIC STATEMENT  Opening Statement at SEC Roundtable on Cybersecurity  SEC Chair Mary Jo...
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