The most common type of abuse that occurs as a result of the recommendation of unsuitable investments...
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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.
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Churning refers to excessive buying and selling in your account by your broker.
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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.
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The Securities and Exchange Commission and the New York Stock...
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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.
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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
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Department of Justice, Aug 29, 2008 Two brothers who were former directors of Queénch Inc. were sentenced to five years in prison for securities
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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
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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
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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
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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
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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
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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
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sec.gov, May 01, 2008 The Securities and Exchange Commission today filed a settled enforcement action against Banc of America Investment Services,
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U.S Department of Labor, Mar 12, 2008 In January 2008, the U.S. Department of Labor's Office of Labor-Management
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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
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SEC, Feb 07, 2008 Securities and Exchange Commission Chairman Christopher Cox today announced the appointments of
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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.
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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
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Securities and Exchange Commission, Dec 19, 2007 The assessment on security futures transactions under Section 31 d will remain
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Securities and Exchange Commission, Dec 11, 2007 The SEC filed a settled civil fraud action against San Diegos auditor in connection with the citys false and misleading financial
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U.S. Securities and Exchange Commission, Dec 04, 2007 The Securities and Exchange Commission filed civil charges against Maxim Integrated Products Inc a Silicon Valley semiconductor
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U.S. Securities and Exchange Commission, Nov 26, 2007 The Securities and Exchange Commission filed charges of fraud that involved phony Las Vegas casino and resort telecommunications
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U.S. Securities and Exchange Commission, Nov 14, 2007 For Improper Payments to Iraq Under the U.N. Oil for Food
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U.S. Securities and Exchange Commission, Oct 29, 2007 The SEC filed securities fraud charges against David H.
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U.S. Securities and Exchange Commisson, Oct 26, 2007 SEC has distributed more than three billion overall since the agency was given authority to send financial penalties from SEC
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SEC, Oct 17, 2007 The Securities and Exchange Commission filed civil fraud charges against Nortel Networks Corporation and its principal operating subsidiary for accounting
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U.S. Department of Labor, Oct 10, 2007 he U.S. Department of Labor's Office of Labor-Management Standards announced its criminal enforcement data for July
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The Securities and Exchange Commission (SEC), Oct 05, 2007 Former CFO to Pay More Than $375,000 to Settle
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FBI, Aug 28, 2007 From 1994 through July 1998, the defendants engaged in a business operation that made more than 500,000 BestBank credit card loans to sub prime
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Department of Justice, Aug 24, 2007 Civilian employee was arrested after being indicted by a grand jury on one count of conspiracy, nine counts of honest services wire
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U.S. Department of Justice, Aug 17, 2007 A Wellesley stock broker was charged in federal court with defrauding one of his elderly clients of over
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FBI, Aug 09, 2007 Employee sentenced to three years imprisonment to be followed by three years supervised release by United States District Judge Richard T. Haik for mail
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FBI, Jul 30, 2007 Chief executive officer of Qwest Communications International Inc., was sentenced to 6 years in prison for insider trading, the Justice Department announced
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FBI, Jul 25, 2007 A former director of Samsung America Inc Korea Export Department was arrested on a criminal complaint charging him with wire
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Securities and Exchange Commission, Jul 16, 2007 The SEC filed a civil injunctive action against Michael F Shanahan and his son alleging that they participated in a fradulent
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FBI, Jul 06, 2007 Hedge funds are minimally regulated private investment partnerships that historically accept only high-wealth
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FBI - Department of Justice, Jun 27, 2007 Baston recruited investors by making false promises of guaranteed short-term, high rates of return on investments in distressed properties, with additional guarantees
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sec.gov, Jun 14, 2007 The SEC alleges that the former senior officers perpetrated a fraudulent and deceptive scheme from 1997 to
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Washington State Department of Financial Institutions, Jun 08, 2007 The state of Washington offers ways to avoid becoming a victim of securities
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Securities and Exchange Commission, Jun 01, 2007 The US SEC charged 14 defendants in a brazen insider trading scheme that netted more than 15 million dollars in illegal insider trading profits on thousands of
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newyork.fbi.gov, May 21, 2007 WANG and CHEN allegedly netted over $600,000 from the
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fbi.gov, May 14, 2007 Under her supervision, MBC?s sales agents misrepresented the safety and security of the investments that MBC offered and
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usdoj.gov, May 07, 2007 A Sarasota, Fla., man has been sentenced to five years in prison and two years of supervised release for conspiring to commit both securities fraud and email
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newyork.fbi.gov, Apr 30, 2007 an indictment was unsealed charging the defendants with wide-ranging criminal activity, including a racketeering conspiracy involving securities
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newyork.fbi.gov, Apr 23, 2007 MARTIN A. ARMSTRONG was sentenced today in Manhattan federal court to 60 months in prison on his conviction for conspiracy to commit securities
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sec.gov, Apr 17, 2007 Park and Cantley aided and abetted and caused a pump-and-dump scheme involving the securities of Spear & Jackson,
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usdoj.gov, Apr 10, 2007 ?Mr. Loomans is well aware of the charges against him, which include insider trading by a corporate official and obstruction of
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sec.gov, Apr 04, 2007 To settle the charges, Tenet agreed to pay a civil penalty of $10
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sec.gov, Mar 29, 2007 According to the complaint, when aspects of the schemes were discovered in March 2005, Stockman embarked on a public campaign to mislead
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oag.state.md.us, Mar 23, 2007 The complaint alleges that Williams and his companies used free lunch seminars to lure investors to his programs, raising over $9 million from more than 150
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fbi.gov, Mar 13, 2007 He was putting the majority of the money into his own bank account and paying ?dividends? to old investors with the cash from new
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sec.gov, Mar 07, 2007 Defendants Include Hedge Funds, Lawyers and Professionals at UBS, Bear Stearns, and Morgan
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sec.gov, Mar 02, 2007 The Securities and Exchange Commission today announced the filing of a civil action in federal district courti nvolving a rampant insider trading
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sec.gov, Feb 23, 2007 The Commission charged Olesnyckyj with securities fraud for participating in a multi-year scheme to secretly backdate stock
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sec.gov, Feb 14, 2007 In settling the Commission's charges, RenRe agreed to an injunction, to retain an independent consultant, and to pay a $15 million civil penalty, among other
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boston.fbi.gov, Feb 09, 2007 Financial transactions in connection with an investment scheme that defrauded over 20 victims of approximately
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newark.fbi.gov, Feb 02, 2007 A stockbroker pleaded guilty today to his role in a scheme to manipulate the stock market and defraud
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sec.gov, Jan 26, 2007 The Commission is extending the three compliance dates to give automated trading centers additional
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losangeles.fbi.gov, Jan 18, 2007 A transient who was indicted on fraud and money laundering charges for allegedly bilking several victims out of more than $5
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justice.gov, Jan 12, 2007 These criminals defrauded their workers out of more than a half million dollars in retirement and health
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sec.gov, Jan 05, 2007 Today's distribution reflects our commitment to use the Fair Funds authority given to us by Congress to return money directly to injured
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Department of Justice, Dec 08, 2006 Man plead guilty earlier this year to one count of Wire Fraud and admitting to devising a scheme to defraud an investor by convincing him to invest in his
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FBI, Nov 16, 2006 Seven former executives of National Century Financial Enterprises NCFE on charges of conspiring to defraud
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Department of Justice, Nov 09, 2006 Ciappetta pleaded guilty to Count One conspiracy to commit securities fraud and mail
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FBI, Nov 02, 2006 Former FBI Special Agent Jeffrey A. Royer was sentenced to six years imprisonment on his
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California District Attorney, Oct 26, 2006 Investigators with the District Attorney?s Bureau of Investigation arrested a Los Angeles man on a warrant charging him with securities
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ago.state.co.us, Oct 18, 2006 Rather than use investor money for the purchase of real estate, Vecchiarelli used the funds for personal
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miami.fbi.gov, Oct 11, 2006 Giordano's first scheme victimized several investors, including two religious organizations, all of whom lost millions of dollars in a purported hedge
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sec.gov, Oct 04, 2006 This is another case arising from our ongoing investigation of the misuse of finite reinsurance to commit securities
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Press Release, Sep 27, 2006 The Commission alleges that Doral Financial overstated income by approximately $921 million or 100 percent on a pre-tax, cumulative basis between 2000 and
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Press Release, Sep 20, 2006 To deceive investors into buying these stocks, the defendants have preyed on public fears about terrorism and international health
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Press Release, Sep 13, 2006 Heruth pleaded guilty to a felony count of misprison of a felony, admitting that she made false statements to
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Press Release, Sep 06, 2006 the defendants reaped millions of dollars in profits as a result of their scheme and issued false and misleading financial statements to the company's shareholders and
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Press Release, Aug 30, 2006 Subsequently, HealthSouth withdrew its financial statements reported during the class period and admitted that its earnings during that time were overstated by
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Press Release, Aug 23, 2006 in a 25-count indictment, charging her with mail fraud, wire fraud, false filing of a pension plan document, money laundering, tax evasion and forfeiture of her house
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Press Release, Aug 16, 2006 This case reaffirms the Commission's commitment to aggressively investigate and take prompt action against frauds targeting Americans retirement
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Press Release, Aug 09, 2006 The charges relate to the sale of unregistered investments sold to the Newton County resident between 1997 and
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Press Release, Aug 02, 2006 The complaint alleges violations of Sections 10(b) and 20(a) the Securities Exchange Act of 1934 and Rule10b-5 promulgated
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Press Release, Jul 26, 2006 Kruger sold unregistered securities to numerous victims throughout the Western states, most of whom were senior
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sec.gov, Jun 01, 2006 Philadelphia based insurance company, unlawfully tipped David L. Johnson, a former PMA
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sec.gov, May 17, 2006 SEC Charges Former Video Game CEO In Junk Fax
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fdic.gov, May 04, 2006 Authentic cashier's checks are printed on white check stock, with fine-green background
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michigan.gov, Apr 19, 2006 This survey shows that investors need to brush up on the fundamentals of
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sec.gov, Apr 04, 2006 SEC settles civil action with former Massachusetts company's president, outside director and
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scc.virginia.gov, Mar 13, 2006 Investors should keep their guard up anytime anyone offers an investment
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sec.gov, Feb 24, 2006 The owner and publisher of Illinois based newspaper Money Maker's Monthly, who was charged with violations of Section 17b of the Securities Act of
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ice.gov, Feb 10, 2006 This is the third arrest nationally of a foreign fugitive under the ICE, Interpol enforcement
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sec.gov, Jan 26, 2006 charging Thomas J. Bucknum with insider trading in the stock of Biogen Idec Inc., a biotechnology company located in Cambridge,
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paed.uscourts.gov, Jan 11, 2006 For violations of federal and state securities laws, fraud, breach of fiduciary duty, and breach of
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SEC.GOV, Dec 28, 2005 U.S. Attorney's Office For The District Of New Jersey Indicts Cocchiola And
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cftc.gov, Dec 14, 2005 District of Maryland entered a consent order of permanent injunction (consent order) on February 28, 2005 against former Maryland
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oag.state.ny.us, Nov 30, 2005 Federated is the 14th firm to settle improper mutual fund trading
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usdoj.gov, Nov 21, 2005 Defrauded over 700 victims nationwide of over 18,000,000 through a sophisticated Ponzi
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sec.gov, Nov 11, 2005 Sihpol has agreed to a $200,000 penalty and a five-year bar from the securities
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fbi.gov, Oct 14, 2005 Securities fraud matters are becoming more complex as the industry develops more complicated
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press release, Sep 22, 2005 Judge OKs $6.1B in WorldCom
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usdoj.gov, Sep 16, 2005 California Securities Broker Charged With Securities And Wire Fraud For Collusive Bidding On Municipal Bond
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il.us, Sep 13, 2005 Secretary White Announces Chicago Illinois Man Sentenced For Stealing From Elderly Securities
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sec.gov, Sep 08, 2005 Securities and Exchange Commission yesterday sued a Los Angeles
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sec.gov, Sep 01, 2005 The Securities and Exchange Commission today filed charges against two former top Kmart
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mo.gov, Aug 24, 2005 The Missouri Commissioner of Securities,David B. Cosgrove approved a consent order Friday with Edward D. Jones Co. L.P resolving
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sec.gov, Aug 19, 2005 Court Freezes Additional Accounts Linked to Suspicious Trades in
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Enter Source, Aug 19, 2005 SEC Charges Eight More In Reebok Insider Trading Case For Immediate
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sec.gov, Aug 11, 2005 Securities And Exchange Commission Today Filed Settled Insider Trading
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sec.gov, Aug 05, 2005 Fraud Case Against Unregistered Utah
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yahoo.com, Jul 14, 2005 Bernard Ebbers Wept Openly At The Front Of A Manhattan Courtroom After Judge Sentenced Him To A 25-Year
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senate.gov, Jul 13, 2005 Act To End Abusive Federal Securities Class Action Lawsuits And To Increase The Flow Of Information To
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senate.gov, Jun 30, 2005 No Class Action Based On State Law Alleging Fraud In Connection With The Sale Or Purchase Of Covered
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osti.gov, Jun 22, 2005 Federal Securities Law And The Need To Disclose The Risk Of Canceling Nuclear
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business wire press release, Jun 17, 2005 U.S. trading venues, including NASDAQ and the NYSE, and almost 30 securities markets throughout the
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sec.gov, Jun 07, 2005 Its Co-Founders And Principals With Fraud And
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Enter Source, Jun 01, 2005 Securities And Exchange Commission Announced Settled Fraud Charges Against Two
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United States Attorney's Office, May 19, 2005 After a seven-week trial, a federal jury in Seattle returned guilty verdicts finding three Znetix stock salesmen guilty of multiple
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Missouri Secretary of State, May 12, 2005 Carnahan Takes Action Against Kansas Broker Dealer Firm Missouri Investors Lost Hundreds Of Thousands Of
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Dept.of the Secretary of State, May 05, 2005 The North Carolina Department of the Secretary of State is running radio and television public service announcements hitting those two
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Securities and Exchange Commission, Apr 27, 2005 Washington, D.C., April 26, 2005 - The staff of the Securities and Exchange Commission invites researchers to study the role of SEC Rule
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prime zone, Apr 25, 2005 The Complaint Charges Defendants With Violations Of Sections 10(B) And 20(A) Of The Securities Exchange Act Of
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prnewswire., Mar 30, 2005 Schatz & Nobel P.C. Which Has Significant Experience Representing Investors In Prosecuting Claims Of Securities
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postherald.com, Mar 23, 2005 The Documents Were Required Under The Newly Passed Sarbanes-Oxley Act, Which Imposed Stiff Criminal Penalties For
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forbes.com, Mar 16, 2005 Mr. Ebbers Charged Having To Do With The Overall Monetary Value Of The Securities
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sec.gov, Mar 15, 2005 The SEC Actively Investigates Allegations Of Internet Investment Fraud And, In Many Cases, Has Taken Quick Action To Stop
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Press Release, Mar 14, 2005 Law Offices of Brodsky & Smith, LLC Announces Class Action Lawsuit Against Applied Signal Technology, Inc. --
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yahoo.com, Mar 08, 2005 The Outstanding Notes Have Not Been Registered Under The Securities Act Of 1933 And May Not Be
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SEC, Mar 07, 2005 SEC names new district
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biz prnews, Mar 01, 2005 Putnam Investments, one of the largest investment management companies in the United States; and Mercer, a major global provider of consulting
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primezone, Feb 28, 2005 It has been reported and confirmed that ChoicePoint Inc.'s top two executives made $16.6 million in insider trading from the time they learned that their database,
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biz yahoo, Feb 25, 2005 Spector, Roseman & Kodroff, P.C. announces that a securities class action lawsuit was commenced in the United States District Court for the Northern District of
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yahoo prnews, Feb 24, 2005 The first scheme involved a
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biz yahoo, Feb 23, 2005 United States Attorney Michael J. Sullivan; Walter G. Ricciardi, District Administrator of the Boston District Office of the Securities and Exchange Commission; and
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mercury press, Feb 21, 2005 Mercury General Corporation (NYSE: MCY) reported today net income of $74.1 million ($1.36 per share- diluted), in the fourth quarter 2004 compared with $49.2 million
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Attorney General, Criminal Division, U.S, Feb 18, 2005 Corporate crimes injure investors, employees, and the capital markets that fund the needs of existing firms and promote new
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usdoj.gov, Feb 17, 2005 Assistant Attorney General Christopher A. Wray of the Criminal Division and U.S. Attorney Gregory G. Lockhart of the Southern District of Ohio announced today that the
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http://www.ftc.gov/opa/2005/02/top102005.htm, Feb 14, 2005 The Federal Trade Commission today released its annual report detailing consumer complaints about identity theft and listing the top 10 categories of fraud-related
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state gov nv, Feb 14, 2005 A Las Vegas resident and her business partner who allegedly got people to invest in a corporation that they touted had developed a process to extract gold from
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wi.state gov, Feb 14, 2005 Private securities transactions are the way most small businesses initially raise capital because they allow an entrepreneur to raise capital with minimal filings with
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Wisconsin Consumer Protection Laws, Feb 14, 2005 Business Opportunity Frauds Many promoters urge consumers to invest in business or money-making
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mil gov, Feb 14, 2005 State securities regulators pointed to recent cases in Pennsylvania, Florida, Alabama, Indiana and elsewhere in which church members were allegedly defrauded by people
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DCBS, Feb 14, 2005 The Enforcement Unit has received many calls concerning Wedgewood Acquisitions, allegedly based in Austria and the US Registration Bureau a fictitious government
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state.or, Feb 14, 2005 A Security is an investment instrument. It includes investments such as stocks, notes, bonds, debentures, investment contracts, interests in limited partnerships, and
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Office Of Attorney General, Feb 11, 2005 In these cases, consumers relied personnel for and consumers should have been told that there was no need to pay extra for four-wheel
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UNITED STATES ATTORNEY'S OFFICE, Feb 10, 2005 The indictment stems from the multi-state investigation of financial transactions related to the Znetix stock fraud, the largest stock fraud ever in the State of
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treas.gov, Feb 10, 2005 Historical railroad bonds commonly used by scam artists include those issued by the Chicago, Saginaw and Canada Railroad Co., the East Alabama and Cincinnati Railroad
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mo.gov, Feb 10, 2005 . Older Americans are of the generation that was taught to be courteous at all times to phone callers, as well as to people who visit them at
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(Washington, DC) The District of Columbia, Feb 10, 2005 Under pressure from DISB, which has initiated steps to start a license revocation hearing against her, Andrea M. Washington agreed to the uncontested
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NASAA, Feb 10, 2005 Ali O. Hussein, a 45-year-old resident of Crofton, Maryland pled guilty to Fraud in the First degree on January 29,
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state.me.gov, Feb 10, 2005 Unsteady stock markets, record low interest rates and rising health care costs are combining to create a perfect storm for investment fraud against senior investors,
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state.me, Feb 10, 2005 The Attorney General?s complaint, filed on behalf of the State and Securities Administrator Christine Bruenn, alleges that William and Barbara Gourley and Bill & Barb
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Georgia Secretary of State, Feb 10, 2005 Perhaps the most important thing to keep in mind is that there will never be
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wa.gov, Feb 10, 2005 The settlements result from allegations of conflicts of interest at brokerage firms where analysts recommended stocks due to influence from their investment banking
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wa.gov, Feb 10, 2005 With the United States on the brink of war with Iraq and with heightened warnings of terrorism at home, investors should not make panicky financial decisions, said
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ca.gov, Feb 10, 2005 California Corporations Commissioner Demetrios A. Boutris today advised Californians to be wary of
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Securities and Exchange Commission, Feb 10, 2005 Investors were promised secure investments with 12% (or more) annual returns, and instead lost all or the vast majority of their
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Division of Enforcement, U.S. Securities & Exchange Commission, Feb 10, 2005 the Subcommittee last February concerning the findings and legislative recommendations contained in a number of reports the Commission submitted to Congress pursuant to
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nasaa., Feb 10, 2005 Anyone offering financial advice or selling stocks,bonds, mutual funds or other investment vehicles in New Jersey must be
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Enter Source, Feb 10, 2005 The easiest way to avoid being defrauded is not to participate in any promotion that appears to be a pyramid
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nasaa., Feb 10, 2005 General Eliot Spitzer today announced that his office has obtained a court order freezing the assets of a company and its principals who cheated hundreds of investors
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usdoj, Feb 10, 2005 United States v. Terry Lee Church et al. (S.D. WVA) In FY 2000, in conjunction with the United States Attorney's office, two former bank executives were convicted of
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usdoj., Feb 10, 2005 Cybercrime most likely to cause significant harm to consumers and businesses here and abroad and
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.indiana.edu, Feb 10, 2005 A Ponzi scheme is an investment scheme in which returns are paid to earlier investors entirely out of money paid into the scheme by newer
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indiana.edu, Feb 10, 2005 There are many types of fraud, and email is an inexpensive and popular method for distributing fraudulent messages to potential
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treasury scams, Feb 10, 2005 During the past few years, there has been a significant increase in the number of reports received in connection with Prime Bank Instrument fraud schemes that has now
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Enter Source, Feb 10, 2005 Many of these solicitations have originated in the United Kingdom, Greece and South
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.treasury scams, Feb 10, 2005 If the business deal falls through and we default, you cash in the collateral and make a
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sec, Feb 10, 2005 Net provides means to raise capital but attracts high-tech scam
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sec, Feb 10, 2005 Baas committed a crime when he exceeded his authorized access, looked for and downloaded an encrypted password file, and ran a password cracking program against the
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UNITED STATES SECURITIES AND EXCHANGE, Feb 10, 2005 In its Amended Complaint, the Commission charges that Laurene English, Gruttadauria's longtime former assistant, aided and abetted Gruttadauria's fraudulent
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sec, Feb 10, 2005 The Securities and Exchange Commission today announced the settlement of an enforcement action against Columbia Management Advisors,
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MO Gov Article, Feb 07, 2005 Tips On Investing Your Money Safely In Missouri, And Avoiding Investment
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