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3 Jan 2020, 4:27 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5000/securities-industry-commentator/Dismissed FINRA Arbitration Against JP Morgan Involves Horrific Backstory (BrokeAndBroker.com Blog)Co-Founder Of Investment Fund Pleads Guilty To Conspiracy, Securities Fraud, Wire Fraud, And Investment Adviser Fraud Charges / Jason Rhodes Pleads Guilty to Participating in Multimillion-Dollar Fraud Scheme (DOJ… [read post]
29 Jun 2022, 1:49 pm
Courts released its 2021 Wiretap Report on intercepts of wire, oral, and electronic communication from Jan. 1, 2021 to Dec. 31, 2021. [read post]
15 Jan 2013, 10:00 pm
Back in 2007, the legislature amended Section 101.862 of the Wisconsin statutes to establish a state electrical wiring code, require registration and licensing of electricians, and provide for building inspections. [read post]
16 Oct 2018, 5:43 am
Former PCAOB Inspections Leader And KPMG Executive Director Pleads Guilty To Scheme To Steal Confidential PCAOB Information In Order To Fraudulently Improve KPMG’s PCAOB Inspection Results (DOJ Release)https://www.justice.gov/usao-sdny/pr/former-pcaob-inspections-leader-and-kpmg-executive-director-pleads-guilty-scheme-stealFormer Public Company Accounting Oversight Board (“PCAOB”) Inspections Leader and KPMG Executive Director Cynthia Holder pled guiltyt o one count of conspiracy to… [read post]
12 Mar 2018, 3:44 am
Self-Proclaimed “Commissioner” Of The Office Of The Commissioner, “His Excellency” Brandon Jones, Guilty Of All Charges (DOJ Press Release) https://www.justice.gov/usao-sdny/pr/self-proclaimed-commissioner-office-commissioner-his-excellency-brandon-jones-guiltyFollowing an eight-day jury trial in the United States District Court for the Southern District of New York, Brandon Jones a/k/a “Brandon McGeer,” a/k/a “Brandon Jones-McGeer,” was convicted… [read post]
22 Jul 2013, 7:00 am
These inspections would ask operators to inspect for proper wire routing and any signs of wire damage or pinching, as well as inspect the battery compartment for unusual signs of heating or moisture. [read post]
15 Apr 2015, 4:10 am
If convicted, in addition to a maximum fine of $5 million or twice the gross gain/loss, Oppenheim faces up to 30 years in prison on the embezzlement count; 20 years on the wire and securities fraud counts; and 5 years on the investment adviser fraud count. [read post]
3 Jul 2024, 8:00 am
Of course, after those monies were paid, no loans were ever made, nor were those fees refunded.Back in February, a jury convicted PM of “one count of conspiracy to commit wire fraud, two counts of wire fraud, and one count of engaging in monetary transactions in criminally derived property. [read post]
26 Oct 2017, 1:52 am
Utah Financial Advisor Pleads Guilty to Tax Evasion, Securities Fraud and Wire Fraud (Department of Justice Press Release 17-1221) https://www.justice.gov/opa/pr/utah-financial-advisor-pleads-guilty-tax-evasion-securities-fraud-and-wire-fraudFrom 2009 through 2017, Henry Brock served as President of a financial services company he founded, and through which he marketed and sold an “IRA Exit Strategy” to potential investors. [read post]
10 Feb 2014, 9:22 am
It was only after she had wired $1,990 that the woman realized she had been scammed. [read post]
8 Jul 2013, 11:50 am
Now, according to Business Wire, NBCUniversal is joining forces with St. [read post]
22 Mar 2013, 8:17 am
According to a Reuters wire service story, Judge Cote ruled for AP and denied Meltwater's summary judgment motion, with one exception, in her decision, which has not yet been released to the public. [read post]
30 Apr 2021, 3:58 am
Raymond James Stuck With Unappealing FINRA Arbitration (BrokeAndBroker.com Blog)Owner of Currency Exchange House Pleads Guilty to Intentionally Violating Anti-Money Laundering Laws (DOJ Release)Financial Advisor Sentenced to More Than 13 Years in Prison for Swindling Investors Out of $5.1 Million (DOJ Release)Fugitive Guatemalan Man Indicted for Wire Fraud (DOJ Release)The Elderly Customer, The Will, The Stockbroker, The Complaining Brother, And The Post-Mortem Wires and Checks… [read post]
21 Jun 2018, 9:06 am
Following his guilty plea to wire fraud, Burgess was sentenced to 24 months in prison plus three years of supervised release, and ordered to pay $248,900 res... [read post]
6 May 2022, 2:02 pm
FINRA Torches Small Brokerage Firm Over Due Diligence Procedures (BrokeAndBroker.com Blog)Former San Bernardino County Sheriff’s Deputy Pleads Guilty to Fraud and Tax Charges in Multimillion-Dollar Investment Swindle (DOJ Release)Foreign National Who Fled and Was Later Extradited from the United Kingdom Pleads Guilty to Conspiracy to Commit Bank and Wire Fraud in Relation to Theft of Over 2,600 Checks from Religious Institutions (DOJ Release)Cybercriminal Charged with Unauthorized… [read post]
21 Feb 2020, 1:29 am
Wells Fargo Agrees To Pay $3 Billion To Resolve Criminal And Civil Investigations Into Sales Practices Involving The Opening Of Millions Of Accounts Without Customer Authorization / $3 Billion Payment Result of Deferred Prosecution Agreement in Criminal Matter, Settlement of Civil Claims under FIRREA and Resolution of SEC Proceedings (DOJ Release)Wells Fargo to Pay $500 Million for Misleading Investors About the Success of Its Largest Business Unit / Payment Will Be Distributed to Harmed Investors… [read post]
16 Oct 2020, 11:19 am
Vaccarelli was charged with three counts of mail fraud, six counts of wire fraud, and three counts of money laundering; and, thereafter, a superseding indictment added three counts of wire fraud and six counts o... [read post]
21 Mar 2024, 8:17 am
(Kent Wired; LinkedIn.) [read post]
16 Oct 2020, 11:19 am
., Defendant (Complaint, United States District Court for the District of Columbia, 20-CV-03010 / October 20, 2020)Six Russian GRU Officers Charged in Connection with Worldwide Deployment of Destructive Malware and Other Disruptive Actions in Cyberspace / Defendants' Malware Attacks Caused Nearly One Billion USD in Losses to Three Victims Alone; Also Sought to Disrupt the 2017 French Elections and the 2018 Winter Olympic Games (DOJ Release)Montrose Man Arrested on Wire Fraud Charge… [read post]
31 Oct 2022, 4:22 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6743/securities-industry-commentator/The Cyberfraud Prevention Fraud, The Impeded Whistleblowing, and The Dissenting SEC Commissioner (BrokeAndBroker.com Blog)FINRA Cites RBC Capital Market's Supervisory Review, Personnel Turnover, and Outdated Tech (BrokeAndBroker.com Blog)DOJ RELEASESConcord Man Pleads Guilty to Defrauding Investor (DOJ… [read post]
