Posts tagged with: "Ponzi"
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12 Feb 2022, 7:37 am
Man Sentenced to 20 Years in Federal Prison for $650 Million Ponzi Scheme that Falsely Claimed to License Foreign Film Rights (DOJ Release)Accountant pleads guilty to embezzling $800,000 from elderly client (DOJ Release)Arrest in California on Hawaii Indictment Charges Investment Fraud of ... [read post]
12 Sep 2022, 4:45 am
Prior 2020 DMCA Notice ReversedMan Sentenced to 135 months for Operating a "Ponzi" Scheme and Committing Securities and Bank Fraud (DOJ Release)SEC Charges Former Investment Adviser with Stealing from Clients (SEC Release)SEC Awards Joint Claimants $500,000 Whistleblower AwardOrder Determining Whistleblower Award ClaimsSEC Charges Four Underwriters in First Actions Enforcing Municipal Bond Disclosure Law (SEC Release)SEC Br... [read post]
18 Jul 2022, 4:06 am
FINRA Arbitration Combines Circular Logic With a Nested Loop and a Mobius Strip in Wage Dispute (BrokeAndBroker.com Blog)Keller Man Sentenced to 14 Years in Prison and Ordered to Pay $14M in Restitution for Ponzi Scheme (DOJ Release)SEC Obtains Final Judgment Against Individual in ICO Promotion Scheme; Files Notice of Death as to John McAfee, Resulting in Dismissal of Claims (SEC Release)Federal Court Imposes Over $29 Million in Restitution and Penalties Against California and Colorado… [read post]
10 Jul 2015, 12:46 pm
A man who reportedly directed a high-stakes prostitution ring in South Florida - one with ties to a law firm tainted by a huge Ponzi scheme scandal - has been sentenced to three years in federal prison. [read post]
3 Apr 2022, 9:04 am
FINRA Sued in the Wrong Place At the Wrong Time (BrokeAndBroker.com Blog)Two Men Sentenced to Combined 13 Years in $1.5 Million Apple Gift Card Scheme (DOJ Release)Manvel man sent to prison for draining co-workers in investment scheme (DOJ Release)SEC Awards $160,000 and $80,000 to Two WhistleblowersOrder Determining Whistleblower Award ClaimsPrepared Remarks of SEC Chair Gary Gensler On Crypto Markets (Penn Law Capital Markets Association Annual Conference)Canadian Man Arrested and Charged with… [read post]
3 Oct 2022, 3:27 am
Justice Department Expands Transnational Elder Fraud Strike Force to Protect Older Americans from Fraud (DOJ Release)Former Lawyer Sentenced to More than 3 Years in Prison for Conning Clients via Sham Court Documents Containing Forged Judge Signatures (DOJ Release)North County Man Indicted for Multimillion-Dollar Ponzi Scheme (DOJ Release)Non-Payment of Federal Income Tax on Cryptocurrency Earnings Leads to Conviction for South Florida Resident (DOJ Rele... [read post]
4 Mar 2022, 10:21 am
Anti-Money Laundering Rules (DOJ Release) Former Westlake Investment Advisor Convicted of Stealing More Than $9.3 Million from Clients in Ponzi Scheme (DOJ Release)FACT SHEET: President Biden to Sign Executive Order on Ensuring Responsible Development of Digital Assets (White House Release)Serial Fraudster Extradited to the United States from Mexico to Face Investment Fraud Scheme Charges in North Carolina and Texas (DOJ Release)SEC Proposes Rules on Cybersecurity Risk Management, Strategy,… [read post]
23 Dec 2021, 10:58 am
SEC Charges Charlotte, North Carolina Investment Adviser and Its President for Not Providing Records to Examiners (SEC Release)CFTC Orders Event-Based Binary Options Markets Operator to Pay $1.4 Million Penalty (CFTC Release)San Diego Real Estate Agent Sentenced for Multi-Million-Dollar Ponzi Schemes (DOJ Release)SEC Charges Charlotte, North Carolina Investment Adviser and Its President for Not Providing Records to Examiners (SEC… [read post]
27 Aug 2022, 9:19 am
Tastyworks Eats $2 Million Worth Of Not-So-Tasty ZOOM Options (BrokeAndBroker.com Blog)Unsettling Settlement Puts FINRA's Board of Governors in Troubling Light (BrokeAndBroker.com Blog)San Bernardino County Man Sentenced to 14 Years in Federal Prison for Multimillion-Dollar Investment Fraud and Cheating on His Taxes (DOJ Release)SEC Charges Florida Man for His Role in $196 Million Ponzi Scheme (DOJ Release)Arizona and California Men Sentenced for $20 Million Investment Fraud (DOJ… [read post]
11 Dec 2021, 12:46 pm
(DOJ Release)Husband and Wife Sentenced to Prison Terms for Operating Ponzi Scheme Relating to Investments in Foreign Currencies (DOJ Release)Wedbush Securities Charged with Unregistered Sales of Microcap Securities and Failing to Report Suspicious Transactions / Broker-de... [read post]
8 Aug 2022, 4:02 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6599/securities-industry-commentator/Overtime at Merrill Lynch Prompts Uneven-Handed FINRA Regulation (BrokeAndBroker.com Blog)Case Allowed to Move Forward Against RobinhoodIn re: January 2021 Short Squeeze Trading Litigation (Securities Tranche) (Order, SDFL)Vancouver, Washington 'Investment Advisor' pleads guilty to defrauding friends and… [read post]
12 Sep 2022, 4:45 am
Prior 2020 DMCA Notice ReversedMan Sentenced to 135 months for Operating a "Ponzi" Scheme and Committing Securities and Bank Fraud (DOJ Release)SEC Charges Former Investment Adviser with Stealing from Clients (SEC Release)... [read post]
18 Jan 2022, 3:17 am
Martell Foundation Charged With Embezzling Over $3.7 Million / Scheme to Defraud National Cancer Research Organization (DOJ Release)Rochester Man Who Bilked At Least 1000 Victims Out Of More Than 100-Million In A Nationwide Multi-Million Dollar Ponzi Scheme Going To Prison (DOJ Release)Analyst Michael Mayo Awarded $400,000 in Compensation Dispute Against CLSA AmericasIn the Matter of the Arbitration Between Michael Mayo, Claimant, v. [read post]
10 Mar 2009, 11:52 am
The website has this to say about investment fraud and ponzi schemes: Investment Fraud (Ponzi Schemes) Fraudulent investment schemes are often marketed by telephone salespersons armed with high pressure and sophisticated selling techniques. [read post]
14 Oct 2010, 6:58 am
PONZI schemes can be simple or complex, but they all seem to have at their source a perversely gifted con man that can talk plain folk, street savvy and highly educated investors alike out of millions. [read post]
14 Oct 2010, 6:58 am
PONZI schemes can be simple or complex, but they all seem to have at their source a perversely gifted con man that can talk plain folk, street savvy and highly educated investors alike out of millions. [read post]
16 May 2011, 9:47 am
Below is an interesting Reuters piece by Matt Goldstein which quotes Ross Intelisano regarding securities fraud and Ponzi schemes. [read post]
SEC Charges Madoff Employee With Creating Fake Trades. We knew he could not have done it on his own.
22 Nov 2011, 11:21 am
The Securities and Exchange Commission today charged a longtime Bernie Madoff employee with fraud for his role in creating fake trades to facilitate the massive Ponzi scheme. [read post]
16 Mar 2010, 3:18 pm
This is the twenty-fourth in a series of installments on this blog that are discussing issues arising in the aftermath of the long global Ponzi scheme of Bernard L. [read post]
25 Mar 2011, 2:57 pm
This is the fiftieth in a series of installments on this blog that are discussing issues arising in the aftermath of the Ponzi scheme perpetrated by Bernard L. [read post]
