Insights
July 8, 2014
Last week, the SEC charged five traders for committing short selling violations in the course of trading both for themselves and on behalf of Worldwide Capital Inc. Worldwide Capital is a proprietary ...
July 7, 2014
Last week, FINRA barred Kenneth Ronald Allen from the securities industry. Allen, who was once an equity trader at First New York Securities L.L.C., was found to be trading Japanese securities because...
July 3, 2014
Bernie Madoff ran the biggest fraud in the history of the United States and was sentenced to 150 years in prison nearly five years ago. The effects of the scheme have been so long-lasting that to this...
July 3, 2014
The United States Attorney for the Northern District of Alabama has filed a complaint for the forfeiture of property owned by Bryan W. Anderson, a broker who was formerly employed by both Met Life and...
July 1, 2014
FINRA fined Goldman Sachs Execution & Clearing, L.P. $800,000 for failing to have reasonably designed written policies and procedures established to stop trade-throughs of protected quotations in ...
June 30, 2014
Bernie Madoff’s former accountant, Paul Konigsberg, pleaded guilty last week to conspiracy and falsifying records during Madoff’s $20 billion Ponzi scheme. Konigsberg pleaded guilty to one...
June 30, 2014
Last month, Samer N’Ser of Ridgeland, Mississippi was arrested for multiple alleged violations of the Alabama Securities Act. N’Ser turned himself in to the Madison County, Alabama Sheriff...
June 26, 2014
A FINRA hearing panel expelled Success Trade Securities, Inc., which is based in Washington, D.C., from membership and barred Fuad Ahmed, the firm’s CEO and President, for the fraudulent sale of...
June 25, 2014
The Florida Office of Financial Regulation issued a consumer alert last week pertaining to a scam that involves the unauthorized use of the office’s name and logo. The fake paperwork was sent to...
June 19, 2014
The Stuart Siegel FINRA bar case highlights a troubling instance of broker misconduct involving the misuse of charitable funds. FINRA has permanently barred Siegel, a Florida-based financial advisor f...
June 17, 2014
U.S. District Judge Max O. Cogburn Jr. was persuaded by Bank of America to reconsider his decision that an SEC lawsuit regarding the issuance of $850 million in mortgage-backed securities should proce...
June 16, 2014
The SEC is currently examining potential changes to its definition of “accredited investor.” Section 413(b)(2)(A) of the Dodd-Frank Act of 2010 states that the SEC must examine the definition of ̶...
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