Posts tagged with: "Ponzi"
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21 Jul 2009, 5:29 am
In a highly anticipated decision, the United States Court of Appeals for the Second Circuit affirmed last week that investment advisor Hennessee Group LLC could not be liable on the claims asserted by one of its clients for recommending that the client invest in a hedge fund that turned out to be nothing more than a Ponzi scheme perpetrated by Bayou Group LLC. [read post]
22 Dec 2009, 4:00 am
On the fifth day of compliance, my audit gave to me: Five Ponzi schemes. [read post]
18 Mar 2010, 6:17 pm
The Financial Industry Regulatory Authority (FINRA) has finally expelled Provident Asset Management for committing outright securities fraud in a Ponzi scheme that involved the marketing of a series of private placements under the names "Provident Energy" and "Shale Royalties. [read post]
24 Sep 2011, 1:29 pm
Now, adding on to the previous charges, the DOJ claims that Full Tilt was in fact "a massive Ponzi scheme" that defrauded its customers out of $444 million. [read post]
18 Mar 2010, 7:17 pm
The Financial Industry Regulatory Authority (FINRA) has finally expelled Provident Asset Management for committing outright securities fraud in a Ponzi scheme that involved the marketing of a series of private placements under the names "Provident Energy" and "Shale Royalties. [read post]
15 Apr 2011, 11:42 am
The complaint also charges Onsa with misappropriating customer funds by using the funds of more recent pool participants to pay certain older pool participants, like a typical Ponzi scheme.This action comes as part of the CFTC’s recent sweep of enforcement actions as the agency begins to harness its increased enforcement power under the recent Dodd-Frank legislation. [read post]
19 Apr 2010, 10:47 am
In a Ponzi scheme the last to invest get hosed. [read post]
7 May 2010, 11:37 pm
Schapiro said that 15 of the 20 SEC staffers that were implicated in an inspector general’s report for failing catch Madoff’s ponzi scam are no longer with the agency. [read post]
27 May 2011, 8:47 am
Mathis repeatedly encouraged people to invest by falsely promising security, growth and returns on their money, but instead the investors lost their savings as part of an elaborate Ponzi scheme. [read post]
28 May 2008, 12:16 pm
The federal crimes Pearlman committed were part of what is commonly called a Ponzi scheme. [read post]
21 Jan 2014, 4:46 pm
According to the Manhattan District Attorney's Office website, junior Ponzi schemer and United States Naval Academy graduate, Bryan Caisse, duped friends and former classmates out of more than $1 million when law enforcement finally caught up to him in airport in Bogotá, Colombia. [read post]
2 Dec 2009, 9:00 pm
He met with Federal authorities and provided details regarding his Ponzi scheme. [read post]
25 Dec 2009, 7:36 am
King, 63, has been charged by the Securities and Exchange Commission (SEC) with taking bribes to ignore wrong doing in relation to the alleged Ponzi scheme. [read post]
6 Dec 2010, 12:29 pm
In an absolute testament to investors' sheer gullibility, apparently 180 people were allegedly duped out of $11 million believed to be going into investments in "court owned settlement annuities" by... [[ This is a content summary only. [read post]
11 Jun 2012, 11:21 am
A district court judge in the Southern District of New York has certified a class of benefit plans alleging that they lost money when fiduciaries placed investments with the now-incarcerated Bernard Madoff. [read post]
3 Sep 2024, 12:36 pm
Read More [read post]
29 Apr 2011, 1:42 pm
The SEC obtained a court order freezing the assets of China Voice Holding Corp., which trades in over-the-counter markets and claims to have a portfolio of telecommunications products and services in both the U.S. and China. [read post]
9 Jun 2010, 8:51 am
28 Jan 2011, 10:37 am
Read more here. [read post]
17 Apr 2010, 12:21 pm
I mentioned yesterday that the SEC Chair issued a response to the SEC Inspector General's critical report on the handling of the Stanford matter. [read post]
