Showing posts with label SECURITIES FRAUD. Show all posts
Showing posts with label SECURITIES FRAUD. Show all posts
Wednesday, June 10, 2015

FINANCIAL FIRM PRESIDENT SENT TO PRISON FOR 10 YEARS

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FROM:  U.S. JUSTICE DEPARTMENT Thursday, June 4, 2015 President of New Jersey-Based Financial Services Firm Sentenced to 10 Years in Priso...
Monday, December 22, 2014

SEC CHARGES FIRM, IT'S PRESIDENT & 2 SALES ASSOCIATES IN FRAUDULENT IPO OFFERINGS SCHEME TARGETING SENIORS

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FROM:  U.S. JUSTICE DEPARTMENT  The Securities and Exchange Commission charged a Staten Island, N.Y.-based firm, its former president, and...
Thursday, December 11, 2014

SEC ANNOUNCES INDICTMENT OF ATTORNEY FOR ROLE IN SHEME TO MANIPULATE STOCK

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FROM:  U.S. U.S. SECURITIES AND EXCHANGE COMMISSION  Litigation Release No. 23154 / December 9, 2014 USA v. Richard Weed, Case No. 1:14-cr...
Thursday, November 20, 2014

SEC CHARGES 3 STOCK PROMOTERS IN ALLEGED PUMP-AND-DUMP SCHEME

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FROM:   U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission charged three penny stock promoters with conductin...
Tuesday, September 2, 2014

FORMER EXEC SENTENCED TO PRISON FOR INVOLVEMENT IN $750 MILLION SECURITIES FRAUD SCHEME

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FROM:  U.S. JUSTICE DEPARTMENT  Friday, August 29, 2014 Former Arthrocare Executives Sentenced for Orchestrating $750 Million Securitie...
Monday, August 11, 2014

STATE OF KANSAS CHARGED WITH SECURITIES FRAUD BY SEC

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today announced securities fraud charges against ...
Tuesday, January 7, 2014

COMPANY TO PAY $30 MILLION PENALTY TO RESOLVE CHARGES OF FRAUD AGAINST EXECUTIVES

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FROM: JUSTICE DEPARTMENT  Tuesday, January 7, 2014 Medical Device Manufacturer Charged With Major Securities Fraud Scheme ArthroCare Cor...
Thursday, December 19, 2013

SEC CHARGES TWO COMPANIES WITH FRAUDULENT OFFER AND SALE OF SECURITIES IN ENERGY VENTURES

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SEC Charges Texas Oil and Gas Promoters for Securities Fraud On December 12, 2013, the Se...
Wednesday, May 8, 2013

SEC CHARGES HARRISBURG, PA WITH SECURITIES FRAUD

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FROM: U.S. SECRUITIES AND EXCHANGE COMMISSION Washington, D.C., May 6, 2013 — The Securities and Exchange Commission today charged the ...
Tuesday, March 12, 2013

SEC CHARGES STATE OF ILLIONOIS WITH SECURITIES FRAUD

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Map:  Illinois.  Credit:   Wikimedia Commons.  GNU.  FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., March 11, 2013 —...
Saturday, December 22, 2012

ENRON BROADBAND SERVICES EXECUTIVES SETTLE FRAUD CHARGES WITH SEC

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission announced today that former Enron senior vice pres...
Sunday, August 12, 2012

FORMER SOYO GROUP EXEC. ORDERED TO PAY $15.6 MILLION PENALTY

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Former Chief Financial Officer of Soyo Group Ordered to Pay $15,600,000 Penalty for Secu...
Friday, June 22, 2012

3 FORMER EXECUTIVES OF FAIR FINANCIAL COMPANY CONVICTED FOR ROLES IN $200 MILLION FRAUD

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FROM:  U.S. DEPARTMENT OF JUSTICE  Thursday, June 21, 2012 Three Former Executives Convicted for Roles in $200 Million Fraud Scheme Inv...
Monday, April 23, 2012

FORMER GATEWAY CFO SETTLES SEC FRAUD ACTION

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FROM:  SEC April 18, 2012 On April 10, 2012, a final judgment was entered against John J. Todd, a former CFO of Gateway, Inc. Todd consent...
Wednesday, March 7, 2012

FORMER CHAIRMAN STANFORD INTERNATIONAL BANK CONVICTED IN $7 BILLION FRAUD SCHEME

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The following excerpt is from the Department of Justice website: Tuesday, March 6, 2012 "Allen Stanford Convicted in Houston for Or...
Sunday, March 4, 2012

FORMER CEO MUST PAY $10 MILLION IN SECURITIES FRAUD CASE

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The following excerpt is from the SEC website:  "Washington, D.C., March 2, 2012  — The Securities and Exchange Commission today ...