Insights
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 20, 2015
A federal jury in Atlanta acquitted Steven E. Slawson, a New Jersey hedge fund manager, who had allegedly made illicit profits from sneak previews of financial results of Carter’s Inc., an Atlan...
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 ...
August 18, 2015
The SEC has fined a former registered investment adviser $2.8 million and barred its owner, Jacob Cooper, from the securities industry. Cooper, who is known as a “Main Street Madoff” by hi...
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 14, 2015
Edward D. Jones & Co. will pay $20 million to settle allegations by the Securities Exchange Commission that the firm overcharged its retail customers on new municipal bond sales. The SEC claims th...
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 10, 2015
The SEC charged 15 individuals and 19 entities as defendants in a case involving multiple schemes to manipulate microcap stocks. The defendants were comprised of six firms, several customers, stock pr...
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 ...
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