Insights
December 23, 2015
The SEC ordered Morgan Stanley to pay $8.8 million dollars for unsupervised prearranged trading, or “parking”, by a portfolio manager and trader. Societe Generale Americas was ordered to p...
December 17, 2015
Martin Shkreli, the hedge fund manager and drug company CEO who rose to infamy after gouging the price of a life-saving pill from $10.50 to $750, has been charged with securities fraud. The FBI arrest...
December 16, 2015
An ex-New Jersey Investment Adviser pleaded guilty to 31 of 37 charges in two indictments brought against her in 2012 and 2013 for operating a $1.178 million Securities and Annuities fraud scheme, ann...
December 9, 2015
Cornelius Alig, an architect and real-estate developer from Indianapolis, Indiana, allegedly received thousands of dollars from victims through promissory notes he was unable to pay. Alig was charged ...
December 8, 2015
FINRA filed a complaint against Cantone Research Inc. (“CRI”) of Tinton Falls, New Jersey and its President, Anthony J. Cantone, charging fraud in connection with the sales and subsequent ...
December 2, 2015
Homero Joshua Garza of Brattleboro, Vermont faces federal charges alleging that he operated a Ponzi scheme that bilked thousands of investors. The SEC charged Garza and his two Bitcoin-mining companie...
November 30, 2015
Paul C. Carageannis of Wichita, Kansas was sentenced to 60 months of probation and ordered to pay the balance of over $165,000 in misused funds to his victims. Carageannis pleaded no contest on June 1...
November 23, 2015
The FBI raided the PhoenixMart headquarters last week in northeast Phoenix. Agents swarmed the building at 7:00 AM on Thursday to investigate possible securities and investor fraud at the company. Age...
November 17, 2015
AR Capital, the massive real estate investment trust sponsor established by Nicholas Schorsch, will cease creating and selling new alternative investment products. “As a result of regulatory and marke...
November 9, 2015
FINRA issued a new investor alert, called Tools of the Fraud Trade: Phones and Emotions , warning investors not to send money or provide personal information to a massive IRS impersonation scam timed ...
November 5, 2015
FINRA emphasized that the regulatory authority’s first goal is the “blocking and tackling” of enforcing its rules, not collecting massive financial penalties, stated Russell Ryan, FI...
October 30, 2015
Richard Waskom of McKinney, Texas pleaded guilty to one count of Sale of Unregistered Securities before Jefferson County, Alabama Circuit Court Judge Tommy Nail and was given probation for selling unr...
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