Friday, February 21, 2014

SEC Charges Frank “Perk” Hixon Jr. With Insider Trading in Former Girlfriend’s Account to Pay Child Support

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Source-  http://www.sec.gov/News/PressRelease/Detail/PressRelease/1370540831992#.UwgLhPldUrU The Securities and Exchange Commission to...
Wednesday, February 19, 2014

Christopher Shawn Linton Pleads Guilty to Securities and Bank Fraud

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Source-  http://www.fbi.gov/birmingham/press-releases/2014/former-attorney-pleads-guilty-to-securities-and-bank-fraud ANNISTON—A former ...
1 comment:
Friday, November 8, 2013

The Securities and Exchange Commission Charged RBS Securities Inc.

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Source-  http://www.sec.gov/News/PressRelease/Detail/PressRelease/1370540300002#.Un2WNvmsigI Washington D.C., Nov. 7, 2013 — The Securit...
1 comment:
Thursday, November 7, 2013

Sherb & Co. LLP and Four Accountants Charged for Failures in Audits of China-Based Companies

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Source-  http://www.sec.gov/News/PressRelease/Detail/PressRelease/1370540289271#.Un2WOPmsigI Washington D.C., Nov. 7, 2013 — The Secur...
Wednesday, November 6, 2013

SEC Charges Municipal Issuer in Washington’s Wenatchee Valley Region for Misleading Investors

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Source-  http://www.sec.gov/News/PressRelease/Detail/PressRelease/1370540262235#.Un2WPPmsigI Washington D.C., Nov. 5, 2013 — The Securit...
Monday, November 4, 2013

SEC Halts Ponzi Scheme Involving New Zealand Companies

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Source-  http://www.sec.gov/News/PressRelease/Detail/PressRelease/1370540247852#.Un2WTPmsigI Washington D.C., Nov. 4, 2013 — The Securit...
Saturday, November 2, 2013

SEC Obtains Asset Freeze in California-Based Real Estate Investment Scheme

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Source-  http://www.sec.gov/News/PressRelease/Detail/PressRelease/1370540220789#.Un2WTvmsigI Washington D.C., Nov. 1, 2013 — The Securit...
1 comment:
Saturday, September 7, 2013

Lawrence D. Polizzotto Vice President of Investor Relations With Violating Fair Disclosure Rules

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Source-  http://www.sec.gov/News/PressRelease/Detail/PressRelease/1370539799034#.Uiu4-8a1ESE Washington D.C., Sept. 6, 2013 — The Securi...
Friday, September 6, 2013

Thailand-Based Trader Agrees to Pay $5.2 Million to Settle Insider Trading Case

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Source-  http://www.sec.gov/News/PressRelease/Detail/PressRelease/1370539798614#.Uiu4_Ma1ESE Washington D.C., Sept. 5, 2013 — The Securi...
Thursday, September 5, 2013

SEC Charges Ronald Feldstein Purported Money Manager With Defrauding Investors and Brokerage Firms

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Source-  http://www.sec.gov/News/PressRelease/Detail/PressRelease/1370539797873#.Uiu5A8a1ESE Washington D.C., Sept. 3, 2013 — The Securi...
4 comments:
Wednesday, September 4, 2013

SEC Charges San Diego-Based Investment Adviser in Cherry-Picking and Soft Dollar Schemes

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Source-  http://www.sec.gov/News/PressRelease/Detail/PressRelease/1370539795856#.Uiu5DMa1ESE Washington D.C., Aug. 30, 2013 — The Securi...
Saturday, August 31, 2013

SEC Sanctions Colorado-Based Portfolio Manager for Forging Documents and Misleading Chief Compliance Officer

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Source-  http://www.sec.gov/News/PressRelease/Detail/PressRelease/1370539791420#.UivJS8a1ESE Washington D.C., Aug. 27, 2013 — The Securi...
Friday, August 30, 2013

SEC Charges John K. Marcum With Conducting Ponzi Scheme Targeting Retirement Savings of Investors

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Source-  http://www.sec.gov/News/PressRelease/Detail/PressRelease/1370539791027#.UivJTca1ESE Washington D.C., Aug. 26, 2013 — The Securi...
Thursday, August 29, 2013

SEC Stops California Company With Misleading Registration Statement From Issuing Public Stock

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Source-  http://www.sec.gov/News/PressRelease/Detail/PressRelease/1370539788096#.UivJTsa1ESE Washington D.C., Aug. 22, 2013 — The Securi...
Tuesday, August 27, 2013

SEC Charges North Carolina-Based Investment Adviser for Misleading Fund Board About Algorithmic Trading Ability

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Source-  http://www.sec.gov/News/PressRelease/Detail/PressRelease/1370539785773#.UivJUMa1ESE Washington D.C., Aug. 21, 2013 — The Securi...