Insights
September 14, 2015
The Securities and Exchange Commission announced fraud charges and an asset freeze to stop a continuing real estate investment scheme operated by three California businessmen, who allegedly stole inve...
September 11, 2015
Benjamin Wey, a well-known Wall Street financier who assisted many Chinese companies in accessing U.S. markets through reverse mergers, was arrested this week and charged with altering the companies&#...
September 10, 2015
Kevin Jerome Brown of Hoover, Alabama is looking at a long probation sentence after pleading guilty to securities fraud, according to authorities. Brown pleaded guilty to one count of securities fraud...
September 8, 2015
Scott F. Gelbard, a former stock promoter, was charged in U.S. District Court in Boston with conspiring to commit securities fraud. Gelbard, who is originally from Colorado and now lives in CanadaR...
September 3, 2015
FINRA issued an investor alert yesterday, titled Messaging Apps Are Latest Platform for Delivering Pump-and-Dump Schemes . In the alert, FINRA cautions investors against stock promotions sent through ...
September 2, 2015
UBS AG avoided going to trial today by mere hours by agreeing to settle a lawsuit in which it was alleged to have peddled “crap” and “vomit” securities during the financial cri...
August 28, 2015
Ken Paxton, Texas’ attorney general, pleaded not guilty to securities fraud charges yesterday. During the hearing, he also asked the judge to bar cameras from ensuing hearings, and his attorney ...
August 27, 2015
The SEC accused Lobsang Dargey, a former Tibetan monk and now real estate developer, of siphoning almost $18 million from Chinese investors who sent him $125 million, seeking residency under a visa pr...
August 26, 2015
The SEC alerted brokerages that they need to monitor the sales of risky complex investments to retail clients better. The agency stated that after analyzing 26,600 transactions amounting to $1.25 bill...
August 25, 2015
FINRA has fined Charles Schwab & Co., Inc. $2 million for net capital deficiencies and for failing to supervise. The net capital deficiencies happened on three different dates in 2014 and spanned ...
August 21, 2015
FINRA is examining potential conflicts in interest regarding how firms compensate their brokers. In a targeted exam letter, FINRA asks firms about a number of compensation policies and practices, rang...
August 19, 2015
James Albert Lawhorne, Jr., former CEO of Cypress Creek Organic Farms, Inc., pleaded guilty in Huntsville before Madison County Circuit Judge James P. Smith to two counts of Securities Fraud relating ...
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