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By Press Release |
January 29, 2013
The SEC says Firas Hamdan falsified brokerage records to drastically overstate assets and hide massive trading losses.
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By Press Release |
January 15, 2013
The regulator says the defendants, Charles Timberlake and Trans Global Investments LLC, committed commodity pool fraud.
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By Press Release |
January 8, 2013
The Financial Industry Regulatory Authority was busy in 2012, assessing $68 million in fines and ordering a record $34 million in restitution.
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By Greg Stohr, Bloomberg |
January 8, 2013
The U.S. Supreme Court signaled it may tighten the time limits that apply when the Securities and Exchange Commission and other government agencies seek to impose fines on people and companies accused of fraud.
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By Press Release |
December 13, 2012
Federal court issues emergency order freezing the defendants' assets, permitting expedited asset discovery, and protecting books and records.
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By Press Release |
December 11, 2012
The SEC charged a New York-based fund manager with conducting illegal trading schemes to financially benefit his investment fund Octagon Capital Partners LP.
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By Press Release |
December 10, 2012
Court finds that defendants fraudulently solicited and accepted over $1.4 million from customers to trade crude oil futures contracts in a commodity pool.
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By Kit Chellel |
December 10, 2012
Stefan Hunt, a former Harvard and Yale economist who now works with the U.K.'s Financial Services Authority, is using new tools to protect consumers from old-fashioned fraud.
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By Michael J. McFarlin |
November 1, 2012
After gaps were revealed in seg funds, the industry responded, but is it enough?
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By Andrew Dunn, Bloomberg |
October 24, 2012
Bank of America Corp. was sued by the U.S. attorney in Manhattan for allegedly engaging in a scheme to defraud Fannie Mae and Freddie Mac.
