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The most common type of abuse that occurs as a result of the recommendation of unsuitable investments...

In addition to the period of incarceration, MOODY was sentenced to three years of supervised release and was ordered to pay restitution in the amount of $2,484,000. That sum represented the total amount paid to MOODY in the form of a "signing bonus" and salary, from Health Maintenance Centers, Inc. and Znetix, Inc. investor funds.

Churning refers to excessive buying and selling in your account by your broker.

SEC Charges Efoora, Inc., Its Former CEO and Another Individual for Their Roles in an Unregistered, Fraudulent Offering: On June 29, the Securities and Exchange Commission ("Commission") filed a complaint in the Northern District of Illinois, charging Efoora, Inc., based in Buffalo Grove, David S.

Department of Justice, Sep 17, 2008 Michael Haynes was convicted of one count of conspiracy to commit tax evasion through a scheme involving the fraudulent sale of One Voice Technologies Inc.

FBI.gov, Sep 09, 2008 Former Miami-based hedge fund operator, was sentenced to 57 months imprisonment, to be followed by three years of supervised

Department of Justice, Aug 29, 2008 Two brothers who were former directors of Queénch Inc. were sentenced to five years in prison for securities

Department of Justice, Jul 14, 2008 A former vice president of imaging and printing services at the Hewlett Packard Company (HP) pleaded guilty to stealing trade

Enter Source, Jul 07, 2008 Jennifer Conroe, age 37, was sentenced to twelve months imprisonment for misappropriating $32,000 in funds from the Rockford, Michigan branch of Comerica

US Dept. Of Justice, Jul 03, 2008 The alleged scheme involved financing the purchases with $15 million in mortgage loans obtained through fraud committed against 33 lending

sec.gov, Jun 30, 2008 The Securities and Exchange Commission today announced that it has proposed revised oil and gas company reporting requirements to help provide

sec.gov, Jun 16, 2008 The Securities and Exchange Commission's Division of Corporation Finance and Office of the Chief Accountant announced today that they have prepared for the

sec.gov, May 20, 2008 The Securities and Exchange Commission has charged an Italian machinery engineer with insider trading and obtained an emergency asset freeze of the more than $2.1

sec.gov, May 01, 2008 The Securities and Exchange Commission today filed a settled enforcement action against Banc of America Investment Services,

U.S Department of Labor, Mar 12, 2008 In January 2008, the U.S. Department of Labor's Office of Labor-Management

SEC, Mar 03, 2008 The Securities and Exchange Commission announced today that it held its first Emerging Markets Conclave with heads of securities regulators from

SEC, Feb 07, 2008 Securities and Exchange Commission Chairman Christopher Cox today announced the appointments of

U.S. Securities and Exchange Commission, Jan 08, 2008 The Securities and Exchange Commission announced that the U.S. District Court for the Northern District of Illinois has entered final judgment against James E.

U.S. Securities and Exchange Commission, Dec 28, 2007 We will aggressively pursue individuals who ignore their professional obligations and instead assist in their clients violation of the federal securities