Saturday, January 26, 2013

SEC Charged Kevin L. Dowd Florida-Based Financial Adviser with Illegally Tipping Inside Information

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Source-  http://www.sec.gov/news/press/2013/2013-10.htm Washington, D.C., Jan. 25, 2013 — The Securities and Exchange Commission today c...
Friday, January 25, 2013

SEC Charges Three Former Bank Executives in Virginia for Understating Loan Losses During Financial Crisis

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Source-  http://www.sec.gov/news/press/2013/2013-4.htm Washington, D.C., Jan. 9, 2013 — The Securities and Exchange Commission today c...
Thursday, January 24, 2013

Charged John J. Aesoph and Darren M. Bennett KPMG Auditors for Failed Audit of Nebraska Bank Hiding Loan Losses During Financial Crisis

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Source-  http://www.sec.gov/news/press/2013/2013-2.htm Washington, D.C., Jan. 9, 2013 — The Securities and Exchange Commission today c...
Wednesday, January 23, 2013

Danny Garber, Michael Manis, Kenneth Yellin, and Jordan Feinstein Charged for Fraud

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Source-  http://www.sec.gov/news/press/2012/2012-278.htm Washington, D.C., Dec. 21, 2012 — The Securities and Exchange Commission today ...
Tuesday, January 22, 2013

Eli Lilly and Company Charged with FCPA Violations

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Source-  http://www.sec.gov/news/press/2012/2012-273.htm Washington, D.C., Dec. 20, 2012 — The Securities and Exchange Commission today ...
Monday, January 21, 2013

James M. Davis, 64, Sentenced to Prison for Role in Fraud Scheme and Obstruction

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Source-  http://www.justice.gov/opa/pr/2013/January/13-crm-092.html James M. Davis, 64, formerly of Baldwyn, Miss., the former chief fin...
Sunday, January 20, 2013

Axius Ceo Roland Kaufmann Pleads Guilty to Conspiracy to Pay Bribes in Stock Sales

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Source-  http://www.justice.gov/opa/pr/2013/January/13-crm-047.html WASHINGTON – Roland Kaufmann, CEO of Axius Inc., pleaded guilty toda...
Sunday, December 23, 2012

charged two investment advisory firms and two portfolio managers for Roles in Collapse of Midwest-Based Closed-End Fund

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Source-  http://www.sec.gov/news/press/2012/2012-272.htm Washington, D.C., Dec. 19, 2012 — The Securities and Exchange Commission today ...
Saturday, December 22, 2012

SEC Revokes Registration of Toronto-Based Broker and Bans Two Executives from U.S. Securities Industry for Allowing Layering

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Source-  http://www.sec.gov/news/press/2012/2012-271.htm Washington, D.C., Dec. 18, 2012 — The Securities and Exchange Commission today ...
Friday, December 21, 2012

Financial Media Company and Executives Involved in Accounting Fraud

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Source-  http://www.sec.gov/news/press/2012/2012-270.htm Washington, D.C., Dec. 18, 2012 — The Securities and Exchange Commission today ...
Thursday, December 20, 2012

SEC Charges Eli Lilly and Company with FCPA Violations

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Source-  http://www.sec.gov/news/press/2012/2012-273.htm Washington, D.C., Dec. 20, 2012 — The Securities and Exchange Commission today ...
Wednesday, December 19, 2012

Aladdin Capital, Connecticut-Based Investment Adviser was Charged for “Skin in the Game” Misstatements About CDOs

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Source-  http://www.sec.gov/news/press/2012/2012-267.htm Washington, D.C., Dec. 17, 2012 — The Securities and Exchange Commission today ...
Tuesday, December 18, 2012

SEC Charges Germany-Based Allianz SE with FCPA Violations

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Source-  http://www.sec.gov/news/press/2012/2012-266.htm Washington, D.C., Dec. 17, 2012 — The Securities and Exchange Commission today ...
Monday, December 17, 2012

W. Mark Miller Provident CFO Indicted in $485 Million Investment Fraud Scheme

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Source-  http://www.fbi.gov/dallas/press-releases/2012/provident-cfo-indicted-in-485-million-investment-fraud-scheme PLANO, TX—A 59-year...
Sunday, December 16, 2012

Former Robertson County Commissioner Edward Shannon Polen Pleads Guilty to Operating Ponzi Schemes Totaling $16 Million

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Source-  http://www.fbi.gov/memphis/press-releases/2012/former-robertson-county-commissioner-edward-shannon-polen-pleads-guilty-to-opera...
Saturday, December 15, 2012

Former Wells Fargo Investment Banker and Co-Conspirators Charged with $11 Million Insider Trading Conspiracy

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Source-  http://www.fbi.gov/charlotte/press-releases/2012/former-wells-fargo-investment-banker-and-co-conspirators-charged-with-11-milli...