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.

Saturday, March 14, 2015

Understanding Disqualifications, Exemptions and Waivers Under the Federal Securities Laws

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Understanding Disqualifications, Exemptions and Waivers Under the Federal Securities Laws
Friday, March 13, 2015

SEC ANNOUNCES DEFAULT JUDGEMENT AGAINST LAWYER FOR FORGING ATTORNEY OPINION LETTERS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Litigation Release No. 23217 / March 11, 2015 Securities and Exchange Commission v. Guy...
Thursday, March 12, 2015

CFTC CHAIRMAN MASSAD'S ADDRESS TO FUTURES INDUSTRY ASSOCIATION BOCA CONFERENCE

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION Keynote Address of Chairman Timothy G. Massad before the Futures Industry Association Boca...

SEC CHARGES TEXAS-BASED BROKERAGE WITH FAILING TO SUPERVISE REPRESENTATIVES

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  03/04/2015 11:25 AM EST The Securities and Exchange Commission today charged an Irving,...
Wednesday, March 11, 2015

MAN WHO MISAPPROPRIATED COMMODITY POOL MONEY SENTENCED TO 8+ YEARS IN PRISON

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  Kevin G. White Sentenced to over Eight Years in Federal Prison for $7.4 Million Commodi...
Tuesday, March 10, 2015

COURT ORDERS $26 MILLION PENALTY AGAINST MAN, FIRM FOR COMMODITY POOL FRAUD

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  March 3, 2015 Federal Court in New York Imposes a $26 Million Civil Monetary Penalty ...
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