Insights
August 17, 2015
FSC Securities will pay a $1.28 million arbitration award to investors who were defrauded by Aubrey Lee Price, who had feigned his death in 2012 to avoid being investigated for his $40 million Ponzi s...
August 14, 2015
Bryan Anderson, a former broker from Hoover, Alabama, was sentenced yesterday to seven years and three months in federal prison after pleading guilty to operating a Ponzi scheme that defrauded investo...
August 13, 2015
A lawsuit brought by a shareholder alleges that Whole Foods committed securities fraud by hiding the fact that it overcharged its New York customers, which resulted in negative publicity that hurt sal...
August 12, 2015
Nine alleged computer hackers were charged today for their roles in a securities fraud scheme that earned $30 million in illicit gains by stealing and trading on corporate earnings data procured from ...
August 11, 2015
Frederick Alan Voight of Richmond, Texas, a Houston-area businessman promising to prevent car wrecks caused by drowsy drivers, has been charged by the SEC with operating a $114 million Ponzi scheme. V...
August 7, 2015
Merrill Lynch was charged with using stale data when executing short sale orders. Merrill Lynch agreed to settle the case by admitting their current system was improper, paying almost $11 million and ...
August 6, 2015
The SEC called for an emergency asset freeze on two accounts, which hold assets of approximately $2 million. The brokerage accounts hold ill-gotten proceeds from a fraudulent EDGAR filing. The SEC tra...
August 5, 2015
Computer Sciences Corporation and eight former executives were charged with manipulating financial reports and covering up substantial issues about the company’s prestigious, multi-billion dollar cont...
August 4, 2015
Robert Keith Smith, formerly a broker with Berthel Fisher, has been accused by more than ten of his clients throughout his career of overconcentrating their accounts in private placement securities, i...
August 4, 2015
The SEC charged a brokerage firm, Macquarie Capital Inc., for underwriting a public offering after receiving a due diligence report signifying that a China-based company’s offering materials contained...
August 3, 2015
The SEC filed its first enforcement actions against 36 municipal underwriting firms under the Municipalities Continuing Disclosure Cooperation (MCDC) Initiative. The MCDC is a voluntary self-reporting...
July 30, 2015
The SEC alleges a venture capital fund manager stole funds from one account to cover lost profits in another account in a Ponzi-like act. The capital fund manager, Gregory Gray, Jr., and his firms, Ar...
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