Posts tagged with: "Ponzi"
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30 Nov 2022, 1:49 pm
In the past, FINRA has barred brokers from the industry for participating in Ponzi schemes, elder financial fraud, breach of fiduciary duty, and other misconduct. [read post]
15 Feb 2019, 11:32 am
The self-regulatory authority (SRO) said that Powell, a former MML Investors Services representative, sold almost $3.5M of promissory notes related to the $1.2B Woodbridge Ponzi Scam that has defrauded thousands of investors, many of them older investors. [read post]
7 Nov 2014, 10:14 am
For example, the $65 billion Ponzi scheme perpetrated by Bernard L. [read post]
28 May 2021, 1:40 pm
In the past, FINRA has barred broker’s from the industry for participating in ponzi schemes, elder financial fraud, breach of fiduciary duty and other misconduct. [read post]
9 Oct 2012, 3:53 pm
While doing business as TransAct Futures, the firm allegedly did not properly supervise its employees, who handled an account in the name of Gordon Driver, the man who has been found liable for his involvement in a commodity pool Ponzi scam. [read post]
27 Dec 2023, 11:21 am
In the past, FINRA has barred brokers from the industry for participating in Ponzi schemes, elder financial fraud, breach of fiduciary duty, and other misconduct. [read post]
19 Jun 2023, 2:05 pm
In the past, FINRA has barred broker’s from the industry for participating in Ponzi schemes, elder financial fraud, breach of fiduciary duty and other misconduct. [read post]
10 Apr 2023, 3:31 pm
Similar to a Ponzi Scheme, Perera began paying Jane Doe with funds from other investors. [read post]
10 Jul 2015, 5:44 am
., a company whose executives were later charged with running a Ponzi scheme, a staggering 47% of firms that sold DBSI are no longer in business. [read post]
10 Aug 2011, 7:00 am
" In hindsight, maybe Bernard Madoff's Ponzi scheme could have been stopped or avoided early on if we had whistleblowers determined and persistent enough to follow through with their complaints. [read post]
19 Apr 2024, 2:04 pm
In the past, FINRA has barred brokers from the industry for participating in Ponzi schemes, elder financial fraud, breach of fiduciary duty, and other misconduct. [read post]
9 Dec 2019, 3:51 am
Lester Burroughs has Civil actions pending for his scheme to defraud retail investors from at least November 2012 to at least January 2019, Burroughs misappropriated advisory client money for his own personal use, created and sold fictitious investment products to clients and engaged in a Ponzi-like schemed by paying back some advisory clients with money stolen from other advisory clients. [read post]
14 Dec 2020, 11:22 am
Our attorneys routinely represent investors in claims for unsuitable investment losses in securities fraud cases, Ponzi schemes and misrepresentation claims. [read post]
22 May 2021, 9:39 am
Furthermore, Goodman allegedly made $13,000 worth of Ponzi-like payments to certain clients after receiving new investments from other clients, as stated in the complaint. [read post]
23 Nov 2019, 8:55 am
Sometimes those investments have some legitimacy but often times these types of investments can end up being Ponzi schemes or the advisor can be engaging in the conversion of funds. [read post]
26 Dec 2019, 9:02 am
GPB Capital is facing multiple accusations of being a Ponzi scheme, an ongoing U.S. [read post]
6 May 2015, 5:00 am
But defendant class actions do exist—here's an opinion, for example, certifying a class of over 9,000 people who benefitted (knowingly or not) from a Ponzi scheme. [read post]
22 Jun 2015, 10:55 am
The Court also refused to grant review of other cases raising these claims: ** Whether investors who lost billions of dollars in their investment portfolios as a result of the “Ponzi scheme” run by broker Bernard Madoff had a legal right, through a federal trustee, to recover some of their losses from investors who had come out of the scandal without the same losses. [read post]
16 Dec 2015, 7:44 am
Securities violations that can be reported by whistleblowers to the SEC include the following: unregistered offer or sale of securities; insider trading; market manipulation; theft or misappropriation of funds or securities; bribery of foreign officials; filing false or misleading SEC reports or financial statements; Ponzi schemes; abusive naked short selling; fraudulent conduct associated with municipal securities transactions or public pension plans; and other fraudulent conduct. [read post]
24 Mar 2022, 6:55 am
Silver Law Group is headquartered in South Florida and represents investors in securities and investment fraud cases including victims of Ponzi schemes. [read post]
