Showing posts with label U.S. SECURITIES AND EXCHANGE COMMISSION. Show all posts
Showing posts with label U.S. SECURITIES AND EXCHANGE COMMISSION. Show all posts
Wednesday, April 3, 2013

CHINESE BUSINESSMAN AND WIFE AGREE TO SETTLE INSIDER TRADING CHARGES

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., March 29, 2013 — The Securities and Exchange Commission announced that a...
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 —...
Monday, February 25, 2013

EXECUTIVES SETTLE COMPENSATION FRAUD CASE WITH SEC

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Credit:  U.S. Marshals Service FROM: U.S. SECURITIES AND EXCHANGE COMMISSION  Executives to be Permanently Enjoined, to Pay Civil Pe...
Friday, February 22, 2013

INVESTMENT ADVISER LOCATED IN VIRGIN ISLANDS CHARGED WITH DEFRAUDING CLIENTS

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Off The Island Of St. Thomas.  Credit:  CIA World Factbook. FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., Feb. 21,...
Wednesday, February 20, 2013

IRREGULAR OPTIONS TRADING IN FRONT OF H.J. HEINZ CO. ACQUSITION LEADS TO ASSET FREEZE

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., Feb. 15, 2013 — The Securities and Exchange Commission today obtained an...
Monday, February 18, 2013

COURT ENTERS DEFAULT JUDGEMENT AGAINST PSYCHIC AND HIS COMPANIES

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 22619 / February 15, 2013 District Court Grants Securities and Exc...
Friday, February 15, 2013

FINAL JUDGEMENT ENTERED IN INSIDER TRADING CASE

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Court Enters Final Judgments Against Former Wall Street Banker, Downstream Russian Trader ...
Monday, February 11, 2013

SEC HALTS $150 MILLION INVESTMENT SCHEME TO DUPE FOREIGN INVESTORS AND EXPLOIT IMMIGRATION PROGRAM

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission today announced charges and an asset freeze against an...

SEC CHARGES INDIVIDUAL AND COMPANIES RELATING TO FRAUDULENT CITIZENSHIP SCHEME

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., Feb. 8, 2013 — The Securities and Exchange Commission today announced ch...
Sunday, February 10, 2013

THREE CHARGED WITH FRAUD IN ALLEGED CHARITABLE GIFT ANNUITY SCHEME

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION SEC Charges We The People, Inc., of The United States and Three Individuals In Offering Fr...
Tuesday, February 5, 2013

SEC CHARGES HUSBAND AND WIFE WITH DEFRAUDING SENIOR CITIZENS WITH CHARITY SCHEME

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., Feb. 4, 2013 — The Securities and Exchange Commission today charged a hu...
Friday, February 1, 2013

SEC CHARGES DAY TRADER WITH PROVIDING FALSIFIED BROKERAGE RECORDS TO INVESTORS

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 Credit:  SEC FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., Jan 29, 2013 — The Securities and Exchange Commissio...
Monday, January 28, 2013

FLORIDA FINANCIAL ADVISER CHARGED BY SEC WITH TIPPING INSIDE INFORMATION

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., Jan. 25, 2013 — The Securities and Exchange Commission today charged a f...
Friday, January 18, 2013

TWO FORMER EXECUTIVES OF VOLT INFORMATION SCIENCES, INC., CHARGED WITH SECURITIES FRAUD

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION SEC Charges Volt Information Sciences, Inc. and Two Former Officers with Securities Fraud ...
Tuesday, January 15, 2013

A WIN AGAINST DEFENDANTS CHARGED WITH DEFRAUDING INVESTORS WITH FICTITIOUS OFFERINGS

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION On December 17, 2012, the United States District Court for the Central District of California...
Friday, January 11, 2013

MAKING MATERIAL MISTATEMENTS DURING FINANCIAL CRISIS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION SEC Charges Three Former Senior Officers of Commonwealth Bank With Understating Losses and ...
Thursday, January 10, 2013

TWO KPMG AUDITORS CHARGED FOR FAILURE TO FIND HIDDEN LOAN LOSSES

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION SEC Charges Two KPMG Auditors for Failed Audit of Nebraska Bank Hiding Loan Losses During ...
Monday, January 7, 2013

FINAL JUDGMENT ENTERED AGAINST DEFENDANT IN RHODE ISLAND-BASED OFFERING FRAUD

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Credit:  Wikimedia.. FROM: U.S. SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission announced today the resolutio...
Saturday, January 5, 2013

THE SEC AND THE GOLD MINE

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission today filed fraud charges against a California-base...