Posts tagged with: "Ponzi"
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8 Jan 2014, 9:37 am
Attorney Preet Bharara: "Despite all these alarm bells, JPMorgan never closed or even seriously questioned Madoff's Ponzi-enabling 703 account," said. [read post]
15 Sep 2016, 6:49 am
The report also identified enforcement priorities of state securities agencies, including, among others, classic Ponzi and pyramid schemes and gatekeeper fraud. [read post]
4 Sep 2011, 2:00 pm
The charges reportedly centered around on old-fashioned ponzi scheme, or investment fraud scam, in which investors, including thirty retirees, were induced by Edwards to invest their money, with outlandish promises of rates of return, which, of course, never materialized. [read post]
13 Sep 2009, 4:31 am
SEC's Madoff Investigation = Stunning Failure As has been widely reported, the Inspector General has released a 450 page report on the SEC's stunning failure to uncover the Bernard Madoff Ponzi scheme. [read post]
16 Feb 2010, 6:14 pm
The ponzi scheme lasted four years and resulted in a loss of forty million to the investors. [read post]
11 Dec 2021, 12:46 pm
San Diego Man Indicted for Multimillion-Dollar Investment Scheme (DOJ Release)SEC Charges San Diego-Based Companies and Their Principal with Operating $15 Million Ponzi Scheme (SEC Release)CEO of Shreveport Federal Credit Union Pleads Guilty to Charges in Federal Court (DOJ Release)Virtual Remarks at the Center for American Progress and Sierra Club: Down the Rabbit Hole of Climate Pledges (Speech by SEC Commissioner Caroline A. [read post]
20 Nov 2012, 9:16 am
The SEC has busted operators of a prime bank fraud (a type of ponzi scheme) that took in $15 million from at least 220 investors in more than 20 states, primarily Georgia. [read post]
19 Mar 2009, 11:57 am
While Bernie Madoff awaits sentencing for the largest Ponzi scheme in U.S. history, hear from one of his victims - Lawrence R. [read post]
8 Nov 2011, 10:32 am
[JURIST] Two former Bernard Madoff [JURIST news archive] investors filed a proposed class-action lawsuit against JP Morgan Chase & Co (JPMC) [corporate website] Monday seeking recovery of $19 billion for allegedly aiding Madoff in orchestrating his Ponzi scheme. [read post]
18 Sep 2023, 4:46 am
JOIN TODAY -- FREE MEMBERSHIP DOJ SEC SEC Charges Cash Flow King Podcast Host with Perpetrating $11 Million Ponzi Scheme (SEC Release) SEC Charges GTT Communications for Disclosure Failures / Declines to impose civil penalty because of company’s prompt self-report, extensive remediation, and substantial cooperation (SEC Release) Deutsche Bank Subsidiary DWS to Pay $25 Million for Anti-Money Laundering Violations and Misstatements Regarding ESG Investments (SEC… [read post]
24 Oct 2022, 3:44 am
The Problem for A Merrill Lynch Registered Rep Seeking the Expungement of a Settled FINRA Arbitration (BrokeAndBroker.com Blog)TD Ameritrade Customer Loses Incorrect Address FINRA Arbitration(BrokeAndBroker.com Blog)DOJ RELEASESThree Men Convicted of $1 Million 'Upfront-Fee' Scheme (DOJ Release)Former Raleigh Investment Advisor Found Guilty in Healthcare Fraud that Targeted the Elderly and Disabled (DOJ Release)Sarasota Man Sentenced To 23 Years In Federal Prison For Running $80 Million… [read post]
21 Jun 2013, 7:31 am
The US Court of Appeals for the Second Circuit has upheld a lower court ruling barring Irving Picard, the trustee supervising the dissolution of Bernard Madoff's Ponzi scheme in bankruptcy, from recovering almost $30 million from JP Morgan Chase and other banks he alleges aided Madoff's fraud. [read post]
20 Jan 2015, 9:00 am
From Ponzi schemes to fraudulent transfers, many Chapter 7 bankruptcy cases involve allegations of wrongdoing. [read post]
6 Aug 2015, 12:30 pm
Madoff Investment Securities, to six months in prison for his involvement in Bernard Madoff's [JURIST news archive] multi-billion-dollar Ponzi scheme. [read post]
16 Oct 2022, 10:17 am
Deferred Compensation Case Meanders to FINRA Arbitration to Federal Court to State Court to Dumpster (BrokeAndBroker.com Blog)Beating a Dead Statutorily Disqualified Horse on Wall Street (BrokeAndBroker.com Blog)You can't serve notice to a crypto collective, say crypto groups in Ooki lawsuit (Reuters by Alison Frankel)Former WSJ reporter says law firm used Indian hackers to sabotage his career (Reuters by Raphael Satter)DOJ RELEASESNevada Woman Charged with $7 Million Advance Fee Ponzi… [read post]
26 Sep 2022, 3:18 am
Whistleblower Angered by SEC's Split of $27 Million Award (BrokeAndBroker.com Blog)SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures / Firms admit to wrongdoing and agree to pay penalties totaling more than $1.1 billion (SEC Release)CFTC Orders 11 Financial Institutions to Pay Over $710 Million for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods / Registered Swap Dealers and FCMs Admit Use of Texts, WhatsApp and Other… [read post]
4 Mar 2022, 10:21 am
FINRA Arbitrators Award Over $2 Million In Disputed Customer Transfer and Asset Purchase Agreement (BrokeAndBroker.com Blog)Former Cantor Fitzgerald Trader Sues Over Wrongful Termination Involving Child Care Leave (BrokeAndBroker.com Blog)New York Man Sentenced to Four Years in Prison for Role in Bank Fraud (DOJ Release)North Carolina Man Charged with Wire Fraud, Securities Fraud, and Money Laundering in Connection with Ponzi Scheme (DOJ Release)SEC Charges Previously-Barred Investment… [read post]
11 May 2009, 8:57 am
It's so important that the SEC allowed investors to lose billions of dollars in a Ponzi scheme: Sir Allen Stanford, who is accused of bank fraud, is the subject of an investigation by the BBC's Panorama. [read post]
13 May 2024, 3:18 pm
Ponzi Scheme Accusations Are Like Pringles: Locke Lord can't have just one. [read post]
9 Apr 2022, 11:14 am
For a Second Time, Federal Court Says Price Isn't Right In UBS Whistleblower Retaliation (BrokeAndBroker.com Blog)Former Managing Partner Of Manhattan Investment Advisory Firm Sentenced To 12 Years For Defrauding Investors In An Over $120 Million Ponzi-Like Scheme (DOJ Release)SEC Charges Four Individuals Involved in Investment Fraud Targeting Retirees (SEC Release)SEC Charges Former Executives of Florida Cash Advance Company with Defrauding Retail Investors (SEC Release)SEC… [read post]
