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17
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FINRA Settles with Five Firms for Improper Mutual Fund Sales to More than 5,300 Households.

Posted by Oswaldo 745 days ago (http://feedproxy.google.com)
Category: Cornell Law School | Tags: finra settles firms improper mutual fund sales households All

FINRA Settles with Five Firms for Improper Mutual Fund Sales to More than 5,300 Households ... Read More »
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18
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Former boy band promoter and Ponzi scheme operator Lou Pearlman confessed to bilking investors of more than $300 million over a 15-year period.

Posted by Oswaldo 746 days ago (http://feedproxy.google.com)
Category: Cornell Law School | Tags: former boy band promoter ponzi scheme operator lou pearlman confessed bilking investors million year period All

Former boy band promoter and Ponzi scheme operator Lou Pearlman confessed to bilking investors of more than $300 million Read More »
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11
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FINRA announced today that it has fined and suspended 16 current and former registered representatives of State Farm VP Management Corp. of Bloomington, IL, for misconduct involving FINRA's Continuing Education requirements.

Posted by Oswaldo 746 days ago (http://feedproxy.google.com)
Category: Cornell Law School | Tags: finra announced today fined suspended current registered representatives state farm vp management corp bloomington il misconduct involving finras continuing education requirements All

FINRA announced today that it has fined and suspended 16 current and former ... Read More »
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18
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The Financial Industry Regulatory Authority announced today that it has settled cases against five firms for mutual fund sales and supervisory violations ...

Posted by Oswaldo 746 days ago (http://feedproxy.google.com)
Category: Cornell Law School | Tags: the financial industry regulatory authority announced today settled cases firms mutual fund sales supervisory violations All

FINRA Settles with Five Firms for Improper Mutual Fund Sales to More than 5,300 Households ... Read More »
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18
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The SEC filed civil securities fraud charges stemming from a $10 million securities fraud that victimized over 75 investors from several affinity groups, including the Filipino community, church members, and military personnel.

Posted by Oswaldo 746 days ago (http://feedproxy.google.com)
Category: Cornell Law School | Tags: the sec filed civil securities fraud charges stemming million securities fraud victimized investors affinity groups including filipino community church members military personnel All

SEC Charges Six in Multi-Million Dollar Fraud Targeting the Filipino Community, Church Members, and Military... Read More »
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19
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SEC Charges Individual with Usurping Identity of a Public Shell Corporation, by Fabricating, Issuing, and Trading Fraudulently Issued Shares

Posted by Oswaldo 746 days ago (http://feedproxy.google.com)
Category: Cornell Law School | Tags: sec charges individual usurping identity public shell corporation fabricating issuing trading fraudulently issued shares All

SEC Charges Individual with Fabricating, Issuing, and Trading Fraudulent Shares Read More »
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6
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NASAA Brings Fraud Prevention Focus to America Saves Week

Posted by Oswaldo 746 days ago (http://feedproxy.google.com)
Category: Cornell Law School | Tags: nasaa brings fraud prevention focus america saves week All

NASAA Brings Fraud Prevention Focus to America Saves Week ... Read More »
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15
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Frank J. Russo was sentenced in U.S. District Court for the District of Massachusetts to 18 years in prison to be followed by 3 years of supervised release.

Posted by Oswaldo 747 days ago (http://feedproxy.google.com)
Category: Cornell Law School | Tags: frank j russo sentenced us district court district massachusetts years prison years supervised release All

Massachusetts-Based Investment Adviser Indicted in Federal Court on Charges of Investment Adviser Fraud and Mail Fraud ... Read More »
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13
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The Securities and Exchange Commission issued an Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions against Robert A. Loffredi, a resident of Hinsdale, Illinois.

Posted by Oswaldo 747 days ago (http://feedproxy.google.com)
Category: Cornell Law School | Tags: the securities exchange commission issued order instituting administrative proceedings making findings imposing remedial sanctions robert a loffredi resident hinsdale illinois All

SEC Commences Action Against Illinois Stockbroker for Theft ... Read More »
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15
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The Securities and Exchange Commission filed an action against Clean Care Technologies, Inc. ("CCT"), its former president and principal owner, and two salespeople, who orchestrated a fraudulent unregistered offering.

Posted by Oswaldo 747 days ago (http://feedproxy.google.com)
Category: Cornell Law School | Tags: the securities exchange commission filed action clean care technologies cct president principal owner salespeople orchestrated fraudulent unregistered offering All

SEC Announces Action to Recover Fraudulently Obtained Funds Raised via Sham Securities Offering ... Read More »
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14
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Oppenheimer & Co. has agreed to be fined $250,000 and to pay $4.25 million in restitution to five dozen mutual fund companies.

Posted by Oswaldo 747 days ago (http://feedproxy.google.com)
Category: Cornell Law School | Tags: oppenheimer agreed fined pay million restitution dozen mutual fund companies All

Oppenheimer & Co. to Pay $4.5M To Settle FINRA Market Timing Charges ... Read More »
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18
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In a unanimous opinion, the United States Supreme Court ruled that an individual participant in an ERISA qualified 401k Plan may sue under ERISA for harm to the participant's individual 401(k) account.

Posted by Oswaldo 747 days ago (http://feedproxy.google.com)
Category: Cornell Law School | Tags: in unanimous opinion united states supreme court ruled individual participant erisa qualified k plan sue erisa harm participants individual k account All

U.S. Supreme Court Allows Individuals to Sue for 401k Losses ... Read More »
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12
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The confessed operator of a New York "boiler room" that specialized in foreign currency exchanges and took in more than $6.5 million was sentenced to 12 years and six months in prison.

Posted by Oswaldo 747 days ago (http://feedproxy.google.com)
Category: Cornell Law School | Tags: the confessed operator york boiler room specialized foreign currency exchanges million sentenced years months prison All

Boiler Room Boss Gets 12-Plus Years After Pleading Guilty in $6.5M Operation ... Read More »
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5
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The SEC filed complaints against Defendants Ameer Khan, Raquel Kohler and Stephen Ziegler, arising from their involvement in Mutual Benefits Corp.'s offering fraud which raised more than $1 billion from approximately 30,000 investors.

Posted by Oswaldo 748 days ago (http://feedproxy.google.com)
Category: Cornell Law School | Tags: the sec filed complaints defendants ameer khan raquel kohler stephen ziegler arising involvement mutual benefits corps offering fraud raised billion approximately investors All

SEC Files Complaints Arising from "Viatical Settlement" Fraud Which Raised More than $1 billion from approximately 30,000... Read More »
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14
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FINRA has charged John Edward Mullins, of Margate, NJ, with misappropriating almost $400,000 from a 97-year-old

Posted by Oswaldo 748 days ago (http://feedproxy.google.com)
Category: Cornell Law School | Tags: finra charged john edward mullins margate nj misappropriating yearold All

FINRA Charges Broker for Misappropriating Almost $400,000 from 97-Year-Old Widow and Her Charitable Foundation ... Read More »
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11
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SEC Charges Group of Florida Brokers Stock Manipulation in Connection With Sale of Stock in SCL Ventures And Weida Communications.

Posted by Oswaldo 748 days ago (http://feedproxy.google.com)
Category: Cornell Law School | Tags: sec charges group florida brokers stock manipulation connection sale stock scl ventures weida communications All

SEC Charges Group of Florida Brokers Stock Manipulation ... Read More »
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12
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The SEC, NASAA, and FINRA announced a new initiative to protect senior investors. The goal of the initiative is to identify effective practices in dealing with senior investors, and to provide information about these practices publicly.

Posted by Oswaldo 748 days ago (http://feedproxy.google.com)
Category: Cornell Law School | Tags: the sec nasaa finra announced initiative protect senior investors goal initiative identify effective practices dealing senior investors provide information practices publicly All

SEC, NASAA and FINRA Announce New Steps to Help Protect Senior Investors ... Read More »
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16
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The SEC announced that it filed a Complaint against Strategic Management & Opportunity Corporation ("SMPP")...

Posted by Oswaldo 748 days ago (http://feedproxy.google.com)
Category: Cornell Law School | Tags: the sec announced filed complaint strategic management opportunity corporation smpp All

SEC Alleges "Pump and Dump" Market Manipulation by Strategic Management & Opportunity Corporation ... Read More »
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