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Securities Law News & Articles
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The following is the latest national news related to securities law issues. For local, regional securities law news, please visit our state resources.
- Six Indicted For $15 Million Mortgage Fraud Scheme
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 institutions
- SEC Proposes Rule Changes to Modernize Oil and Gas Reporting Requirements
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 investors
- SEC Staff Recommends Commission Action to Modernize Oil and Gas Reporting Requirements
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 Commission's
- SEC Obtains $2.1 Million Emergency Asset Freeze and Charges Rome Resident
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 million
- SEC Charges Banc of America Investment Services
sec.gov, May 01, 2008
The Securities and Exchange Commission today filed a settled enforcement action against Banc of America Investment Services, Inc.
- U.S. Labor Department enforcement agency announces eight criminal convictions for January 2008
U.S Department of Labor, Mar 12, 2008
In January 2008, the U.S. Department of Labor's Office of Labor-Management Standards
- SEC Hosts Historic Meeting Securities Regulators From Major Emerging Markets
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 Brazil
- SEC Chairman Cox Announces Creation of New Office, Appointment of Leaders, to Expedite Distribution of Billions to Injured Investors
SEC, Feb 07, 2008
Securities and Exchange Commission Chairman Christopher Cox today announced the appointments of the
- Final Judgment Against Former CFO of Waste Management Inc Following Jury Verdict
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. Koenig
- SEC Charges Mayer Brown Partner with Aiding and Abetting Refco Fraud
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 laws
- Fee Rate Advisory For Fiscal Year
Securities and Exchange Commission , Dec 19, 2007
The assessment on security futures transactions under Section 31 d will remain unchanged
- SEC Charges Independent Auditor for Fraud
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 statements
- SEC Sues for Stock Option Backdating Scheme
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 company
- Fraud Harming Seniors and Other Investors
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 deals
- SEC Files Charges Against Chevron Corporation
U.S. Securities and Exchange Commission, Nov 14, 2007
For Improper Payments to Iraq Under the U.N. Oil for Food Program
- SEC Charges Former CEO of Military Body Armor Supplier
U.S. Securities and Exchange Commission, Oct 29, 2007
The SEC filed securities fraud charges against David H. Brooks.
- SEC Distributes Millions to Defrauded Fannie Mae Investors
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 enforcement.
- Nortel Networks Pays Millions to Settle Fraud Charges
SEC, Oct 17, 2007
The Securities and Exchange Commission filed civil fraud charges against Nortel Networks Corporation and its principal operating subsidiary for accounting fraud.
- Six Convictions During July for Embezzlement
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 2007.
- Three Former Dynegy Executives Settle SEC Charges for Manipulating Financial Statements
The Securities and Exchange Commission (SEC), Oct 05, 2007
Former CFO to Pay More Than $375,000 to Settle Charges
- Employee Embezzles $309,760.23 From Employer
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 fraud
- QWEST CEO SENTENCED FOR INSIDER TRADING
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 today.
- Former Samsung Unit Director Arrested for Embezzlement
FBI, Jul 25, 2007
A former director of Samsung America Inc Korea Export Department was arrested on a criminal complaint charging him with wire fraud
- SEC Charges Former CEO in Options Backdating Scheme
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 scheme
- Hedge Fund Information
FBI, Jul 06, 2007
Hedge funds are minimally regulated private investment partnerships that historically accept only high-wealth investors
- Man Charged in Multimillion Dollar Ponzi Scheme
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 on
- SEC Charges 14 in Wall Street Insider Trading Ring
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 trades
- Three Defendants Sentenced For Conspiracy To Commit Securities And Email Fraud
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 fraud
- SEC Institutes Enforcement Action Alleging Pump-and-Dump Scheme
sec.gov, Apr 17, 2007
Park and Cantley aided and abetted and caused a pump-and-dump scheme involving the securities of Spear & Jackson, Inc
- SEC Charges Tenet Healthcare Corporation With Concealing Scheme To Meet Earnings Targets
sec.gov, Apr 04, 2007
To settle the charges, Tenet agreed to pay a civil penalty of $10 million
- SEC Announces Fraud Charges
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 investors
- Ponzi Endures With Lure Of Riches
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 investors.
- SEC Charges 14 In Wall Street Insider Trading Ring
sec.gov, Mar 07, 2007
Defendants Include Hedge Funds, Lawyers and Professionals at UBS, Bear Stearns, and Morgan Stanley
- SEC Charges Family With $3.7 Million Insider Trading Scheme
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 scheme
- Reinsurer RenaissanceRe Settles Securities Fraud Charges
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 things.
- Dorchester Man Pleads Guilty To Mail Fraud
boston.fbi.gov, Feb 09, 2007
Financial transactions in connection with an investment scheme that defrauded over 20 victims of approximately $800,000.
- SEC Extends Compliance Dates For Regulation NMS
sec.gov, Jan 26, 2007
The Commission is extending the three compliance dates to give automated trading centers additional time.
- $83 Million Distribution Begins for Defrauded Shareholders of Gemstar-TV Guide
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 investors
- SEC Sanctions the City Of San Diego for Fraudulent Municipal Bond Offerings and Orders the City to Retain an Independent Consultant
SEC, Nov 28, 2006
- Executives Indicted In Securities Fraud Scheme
FBI, Nov 16, 2006
Seven former executives of National Century Financial Enterprises NCFE on charges of conspiring to defraud investors
- Former FBI Agent Sentenced For Securities Fraud And Racketeering
FBI, Nov 02, 2006
Former FBI Special Agent Jeffrey A. Royer was sentenced to six years imprisonment on his conviction
- SEC Charges Former CEO With Securities Fraud
sec.gov, Oct 04, 2006
This is another case arising from our ongoing investigation of the misuse of finite reinsurance to commit securities fraud.
- Doral Financial Settles Financial Fraud Charges With SEC
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 2004.
- SEC Files Action To Stop Ongoing Microcap Stock Fraud
Press Release, Sep 20, 2006
To deceive investors into buying these stocks, the defendants have preyed on public fears about terrorism and international health epidemics
- Former Executives Of Comverse Charged With Creating A Secret Stock Options Slush Fund
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 th
- SEC Halts $22 Million Fraud Targeting Retirement Funds
Press Release, Aug 16, 2006
This case reaffirms the Commission's commitment to aggressively investigate and take prompt action against frauds targeting Americans retirement funds.
- Georgia Man Arrested on Securities Fraud Charges
Press Release, Aug 09, 2006
The charges relate to the sale of unregistered investments sold to the Newton County resident between 1997 and 2002.
- SEC Violation Of Video Game Scheme To Promote The Company’s Stock
sec.gov, May 17, 2006
SEC Charges Former Video Game CEO In Junk Fax Scam
- National Survey Shows Urgent Need For Investors
michigan.gov, Apr 19, 2006
This survey shows that investors need to brush up on the fundamentals of investing
- Pennsylvania Investment Fraud, Violations Securities Laws
paed.uscourts.gov, Jan 11, 2006
For violations of federal and state securities laws, fraud, breach of fiduciary duty, and breach of contract
For local, regional securities law news, please visit our state resources.
Contact a Securities Law Lawyer now for a free case review.
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Did You Know? |
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A Securities Lawyer Can Help You Recover Lost Or Stolen Securities Certificates
Brokerage firms, banks, transfer agents, and corporations have procedures in place to help investors replace lost or stolen certificates. If your securities certificate is lost, accidentally destroyed, or stolen, you should immediately contact the transfer agent and request that a "stop transfer" be placed against the missing securities. Your broker may be able to assist you with this process.
A Securities Attorney Can Explain And Discuss The Stop Transfer Process With You
The "stop transfer" helps to prevent someone from transferring ownership from your name to someone else's. The transfer agent or broker-dealer will report the certificates missing to the SEC's lost and stolen securities program.
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