Posts tagged with: "Ponzi"
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2 Jun 2011, 1:21 pm
According to the Investment News story, the DBSI trustee claims that TICs from DBSI were actually part of a $600 million Ponzi scheme. [read post]
28 Dec 2008, 1:03 am
The US securities statutes recognize the ability of investment professionals to make their own decisions, as do the investors who give these managers their money to invest.The SEC blew this, but that does not excuse, or even address, the failure of these well paid "investment managers" to recognize a Ponzi Scheme when it was staring them in the face. [read post]
23 Jul 2012, 7:20 am
As if reasonable supervision in this model is not challenge enough, making sure that you have an honest registered representative who is not engaged in improper handling of money or, worse yet, operating a ponzi scheme or some other financial misconduct may be particularly onerous. [read post]
17 Dec 2009, 4:45 am
SEC Press Release: SEC Approves Stronger Safeguards to Protect Clients’ Assets Controlled by Investment Advisers SEC Requires Surprise Exams in Response to Madoff Ponzi Scheme by Jesse Westbrook for Bloomberg SEC Approves Custody Rule Changes in Compliance Avenue [read post]
12 Mar 2009, 9:00 am
" Running the federal sentencing guideline numbers for Bernie Madoff A victim's perspective on a possible plea deal for Bernie Madoff "Madoff Mercy: How long should the Ponzi schemer go to prison for? [read post]
11 Mar 2009, 3:29 am
The proposed addition is needed because the Madoff case and other recent Ponzi schemes have heightened the investing public's concern that funds they entrust to investment advisers are being misappropriated, and that the public, therefore, expects state securities regulators to take steps to prevent these fund misappropriations.The Securities Office is confident that assets are safe given that misappropriation would require collusion between an adviser and brokerage firm, and advisers… [read post]
5 Mar 2012, 11:13 am
The existing approach, Strong Towns argues, causes economic stagnation and decline and a dependence on public subsidies, because it is a “Growth Ponzi Scheme. [read post]
3 Oct 2019, 7:02 am
According to the unsealed indictment, Booth is alleged to have executed a Ponzi scheme which effectively converted almost $5 million from forty clients. [read post]
10 Feb 2010, 5:49 am
The complaint also says that more than $1.25 million of investors’ deposits was used to repay investors who ultimately demanded to get their money back or income from their investments, which is indicative of a Ponzi scheme. [read post]
19 Feb 2010, 12:59 pm
Tampa Federal Criminal Defense Expert notes that the former president of a mortgage company was sentenced to five years and three months and an officer was sentenced to three years and four months in federal prison for their roles in a $79 million Mortgage Fraud Ponzi Scheme. . [read post]
18 Mar 2010, 10:17 am
Simply put, FINRA has failed to address the vast abuses that led to the financial crisis and has failed to adequately investigate Ponzi schemes run by Bernard Madoff, among others. [read post]
26 Dec 2008, 4:34 pm
A problem here is that the lie perpetrated by Madoff was not all that obvious or easy to recognize (in fact, it is very likely that Madoff's operation was legitimate initially but took the Ponzi route when he began to suffer losses that he was too proud to acknowledge).No. [read post]
23 Jan 2017, 11:14 am
In 2016, the Securities and Exchange Commission filed a criminal complaint against regional centers in Vermont, including two ski resorts that appeared to be Ponzi schemes. [read post]
20 Jan 2011, 3:39 pm
Our attorneys also help victims of Ponzi schemes pursue recovery by submitting claims with receiverships established by the SEC and by assisting victims with the filing of a Theft Loss Tax Deduction with the IRS. [read post]
4 Mar 2009, 1:33 pm
If certificates of deposit issued by a Stanford offshore bank really were part of a Ponzi scheme, as federal securities regulators allege, then interest payments on the CDs would be considered proceeds from the fraud. [read post]
15 Jun 2011, 5:44 am
On Hold: A member of the Senate is blocking President Obama’s nominees for two seats at the Securities and Exchange Commission until the agency decides whether victims of an alleged Ponzi scheme are entitled to financial relief, the Washington Post reports. [read post]
11 Nov 2009, 7:53 am
District Judge Richard Berman was a bit ticked off when he discovered that Richards Kibbe & Orbe LLP, the receiver’s firm in a government civil case arising out of an alleged Ponzi scheme, submitted a bill with a $190.00 per hour charge for a paralegal to deliver a letter to the courthouse. ...Why not just use FedEx? [read post]
14 Jun 2011, 6:38 am
These criminal acts may not seem as grand as those of Bernard Madoff’s, but by definition, they are also classified as Ponzi/pyramid sales scheme, wire fraud, and/or securities fraud. [read post]
29 Mar 2016, 4:08 am
In one instance, that due diligence could have unraveled a Ponzi scheme at its inception, instead of years after the facts and millions of dollars lost. [read post]
14 Dec 2011, 10:14 am
Securities fraud can also include a Ponzi scheme, involving variable annuities, as well as wrongful activity related to retirement and IRA accounts. [read post]
