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27 Jun 2019, 6:14 am
2019 FINRA Annual Budget Summary http://www.finra.org/sites/default/files/2019_annual_budget_summary.pdfSEC Charges CEO of Online Entertainment Company with Defrauding Investors (SEC Release)https://www.sec.gov/litigation/litreleases/2019/lr24524.htmIn a Complaint filed in the United States District Court for the Southern District of New York https://www.sec.gov/litigation/complaints/2019/comp24524.pdf, the SEC charged former Function(x), Inc. [read post]
29 Mar 2018, 3:25 am
Barclays Capital Inc. [read post]
29 Oct 2017, 7:15 am
Sayfullo Habibullaevic Saipov, Defendant (Complaint, United States District Court for the Southern District of New York) http://brokeandbroker.com/PDF/SaipovComplaint.pdfCount One: Provision of Material Support and Resources to a Designated Foreign Terrorist OrganizationCount Two: Violence and Destruction of Motor VehiclesREAD FULL TEXT Saipov Criminal ComplaintBrooklyn Businessman Charged with Fraud in Connection With Two Initial Coin Offerings (Department of Justice Press Release)… [read post]
7 May 2021, 4:10 am
Federal Court Rejects TRO Against Brokerage and RIA (BrokeAndBroker.com Blog)UBS Financial Services, Inc.; UBS Financial Services Incorporated of Puerto Rico; UBS Trust Company of Puerto Rico, Petitioners/Appellees, v. [read post]
27 Aug 2018, 12:19 pm
SEC Charges Moody’s With Internal Controls Failures and Ratings Symbols Deficiencies (SEC Release 2018-169)https://www.sec.gov/news/press-release/2018-169Without admitting or denying SEC charges, credit rating agency Moody’s Investors Service Inc. agreed to pay $15 million to settle charges of internal controls failures involving models it used in rating U.S. residential mortgage-backed securities (RMBS) and will retain an independent consultant to assess and improve its… [read post]
14 Feb 2019, 1:46 am
Former Rochester CEO Indicted On Multiple Charges For Defrauding His Own Company (DOJ Release)https://www.justice.gov/usao-wdny/pr/former-rochester-ceo-indicted-multiple-charges-defrauding-his-own-companyIn a 15-count Indictment filed in the United States District Court for the Western District of New York, eHealth Global Technologies, Inc. former Chief Executive Officer Michael Margiotta was charged with wire fraud, money laundering, and filing a false tax return. [read post]
25 Jan 2019, 4:02 am
Chinese Telecommunications Conglomerate Huawei and Huawei CFO Wanzhou Meng Charged With Financial Fraud / Huawei Device USA Inc. and Huawei’s Iranian Subsidiary Skycom Also Named Defendants / Other Charges Include Money Laundering, Conspiracy to Defraud the United States, Obstruction of Justice and Sanctions Violations (DOJ Release).https://www.justice.gov/opa/pr/chinese-telecommunications-conglomerate-huawei-and-huawei-cfo-wanzhou-meng-charged-financial READ the Huawei… [read post]
8 Mar 2019, 8:54 am
SEC Charges Volkswagen, Former CEO With Defrauding Bond Investors During "Clean Diesel" Emissions Fraud (SEC Release)https://www.sec.gov/news/press-release/2019-34In a Complaint filed in the United States District Court for the Northern District of California, https://www.sec.gov/files/complaint-2019-03-14_0.pdf the SEC today charged Volkswagen AG, its subsidiaries Volkswagen Group of America Finance, LLC and VW Credit, Inc., and former Chief Executive Officer Martin… [read post]
22 Dec 2017, 8:44 am
Anvil Partners, Inc., (United States District Court for the Southern District of New York; 17-Misc-318) finding registered investment advisor Anvil Partners and its majority owner, president, and chief investment officer, Jeremy Beck, in civil contempt of court for failing to comply with the court's prior order enforcing a June 6, 2017, SEC investigative subpoena directed to Anvil. [read post]
11 Dec 2017, 3:22 am
In the Matter of Munchee Inc., Respondent ( Order Instituting Cease-And-Desist Proceedings and Making Findings; '33 Act Release No. 10445; Admin. [read post]
30 Apr 2021, 3:58 am
SEC Charges Texan with Defrauding Investors in a Purported Wireless Energy Project (SEC Release)Convicted Fraudster Awaiting Sentencing Charged Again in New Embezzlement Scheme (DOJ Release)SEC Charges Under Armour Inc. [read post]
16 Dec 2017, 6:12 am
BREAKING NEWS: City of Providence et al., Plaintiffs/Appellants, v. [read post]
15 May 2018, 8:20 am
Houston Firm Ordered to Stop Fraudulent Crypto Offering (TSSB Press Release)https://www.ssb.texas.gov/news-publications/houston-firm-ordered-stop-fraudulent-crypto-offeringThe Texas State Securities Board entered an Emergency Cease and Desist Order to stop Wind Wide Coin Inc. and three sales agents from fraudulently offering investments in a cryptocurrency trading program that uses an “automatic trading bot" and purports to combine " “no risk” and… [read post]
16 Jan 2018, 3:23 am
Nicolas De-Meyer was indicted in the United States District Court for the Southern District of New York on one count of interstate transportation of stolen property for his role in the alleged theft of $1.2 million from a victim who is described in various press reports as Goldman Sachs Group Inc. [read post]
29 Mar 2019, 7:13 am
FinTech Global Markets Acquires Sutter Securities to Form a Modern Investment Banking Enterprise / The merger creates a powerful combination of financial business lines to serve issuers and investors (Press Release) https://www.prnewswire.com/news-releases/fintech-global-markets-acquires-sutter-securities-to-form-a-modern-investment-banking-enterprise-300820854.html FinTech Global Markets, Inc. [read post]
21 Aug 2022, 12:45 pm
TD Ameritrade Clearing Inc., Defendant (Opinion and Order, SDNY)Three Members Of Miami Crew Charged With Defrauding Banks And Cryptocurrency Exchange Of More Than $4 Million (DOJ Release)California Man Charged With Using False Ide... [read post]
12 Jun 2009, 3:06 pm
Spray-Rite Service Corp., 465 U.S. 752 (1984), and Matsushita Electric Industrial Co. v. [read post]
10 Feb 2012, 8:43 am
In October, patent lawyers for Keith Lewis of the United Kingdom filed a patent infringement suit in the Northern District of Illinois alleging Grote Industries, Inc. of Madison, Indiana infringed patent no. 7,252,407, Lighting apparatus, which has been issued by the US Patent Office. [read post]
12 Feb 2020, 1:43 pm
Eric Weschke has been in the industry since 1994, and works out of Setauket, New York. [read post]
17 Mar 2020, 11:01 am
Among the various comments, a number of industry trade organizations joined in a comment letter. [read post]
