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7 Jan 2012, 12:35 pm
The US Securities and Exchange Commission had accused him of designing an investment program that misled clients, who ended up losing their investments when the housing market collapsed. [read post]
3 Jan 2012, 9:21 pm
Securities and Exchange Commission. [read post]
2 Jan 2012, 2:31 pm
TR Investors, LLC. [read post]
30 Dec 2011, 1:23 pm
” Congress also intended to not only protect whistleblowers who work for publically traded companies, but also “employees of private firms that work with, or contract with, publically traded companies. [read post]
30 Dec 2011, 7:27 am
When Raj Rajaratnam and others involved in the Galleon Management LLC circle were arrested and charged in October 2009, many pointed out that the authorities' use of wire taps as a new development in these types of cases. [read post]
23 Dec 2011, 10:29 am
The relief required by the consent decree is intended to settle U.S. allegations that the merger would substantially lessen competition or potential competition in three relevant markets: (1) displayed equity trading services; (2) listing services for exchange-traded products (ETPs), including exchange-traded funds; and (3) real-time proprietary equity data products in the United States. [read post]
21 Dec 2011, 5:15 am
Second Most Widely Used eDiscovery Software Vendor, According to AmLaw Tech Survey – mwne.ws/siyiDc (Marketwire) Is Social Software Vendor Telligent Really Gaining Leverage Here? [read post]
20 Dec 2011, 1:47 pm
For more information contact us at (877) SEC-ATTY.andnbsp; [read post]
14 Dec 2011, 11:40 am
The BBB stated that "marketers must be careful what they promise in exchange for a "Like" on Facebook and that they are not using misleading or artificial means to inflate the number of Facebook likes. [read post]
12 Dec 2011, 6:35 am
The JadeFX website falsely claimed that all funds were used to trade forex, client money was held in segregated accounts, and customers funds were protected from bankruptcy. [read post]
8 Dec 2011, 5:00 am
Oct. 6, 2011), the Securities and Exchange Commission (“SEC”) brought charges against defendants Eric Aronson, Vincent Buonauro, Robert Kondratick, Fredric Aaron, the PermaPave companies (PermaPave Industries, LLC, PermaPave USA Corp., PermaPave Distributions, Inc., Permeable Solutions, Inc., and Verigreen, LLC), and Interlink-US-Network, Ltd (collectively, “Defendants”). [read post]
7 Dec 2011, 5:45 am
ThinkStrategy Capital Fund was an equities-trading fund that ceased operations in 2007. [read post]
7 Dec 2011, 3:19 am
© 2011 Simple Justice NY LLC. [read post]
5 Dec 2011, 12:53 pm
For more information contact us at (877) SEC-ATTY.andnbsp; [read post]
1 Dec 2011, 2:10 pm
The complaint also accuses WisdomTree's subadvisor, Mellon Capital Management Corp., and WisdomTree's exchange-traded fund distributor, ALPS Distributors Inc., of patent infringement. [read post]
30 Nov 2011, 8:19 am
Samir Mathur was head of hybrid trading for the group. [read post]
30 Nov 2011, 7:30 am
Simmonds the Court is considering whether the deadline to file certain insider trading claims is delayed until the insider discloses the trades in reports to the Securities and Exchange Commission. [read post]
29 Nov 2011, 6:29 pm
Wegener, of Grand Rapids, faces the criminal charges after previously being charged by the Securities and Exchange Commission in a parallel civil proceeding. [read post]
22 Nov 2011, 7:20 pm
From at least June 2010 to August 2011, Gilliams and TL Gilliams, LLC ("TLG") solicited potential investors by representing that he would pool and use investor money to make large purchases and sales of Treasury STRIPS. [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
Madoff Investment Securities LLC (BMIS) for nearly four decades, was asked by Madoff to provide the firmandrsquo;s investment advisory operations with backdated arbitrage trade information to be formulated into fictitious trading on investorsandrsquo; account statements. [read post]
