Securities Fraud
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Securities Fraud
Helping investors stay informed about securities fraud, investment scams, ponzi schemes, and regulatory investigations
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Asked and Answered: Deadline for Comments on BrokerCheck Changes Looms - Financial-Planning.com

Asked and Answered: Deadline for Comments on BrokerCheck Changes Looms - Financial-Planning.com | Securities Fraud | Scoop.it
Asked and Answered: Deadline for Comments on BrokerCheck Changes LoomsFinancial-Planning.comBy Danielle Reed On April 6, the comment period on FINRA's proposed changes to its BrokerCheck system will close.
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SEC seeks better muni disclosure, record-keeping - Reuters

SEC seeks better muni disclosure, record-keeping - Reuters | Securities Fraud | Scoop.it
AdvisorOneSEC seeks better muni disclosure, record-keepingReutersThe SEC, which is poised to release a sweeping report on market conditions, also posted a bulletin describing the investment risks of municipal bonds and the places where bond buyers...
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SEC eyes political contributions - Victorville Daily Press

SEC eyes political contributions - Victorville Daily Press | Securities Fraud | Scoop.it
SEC eyes political contributionsVictorville Daily PressTo try and track any improper donations, the SEC subpoenaed the personal bank records of Thomas Barnett dating back to 2003.
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FINRA ramps up enforcement actions - Thomson Reuters News & Insight

FINRA ramps up enforcement actions - Thomson Reuters News & Insight | Securities Fraud | Scoop.it
Thomson Reuters News & InsightFINRA ramps up enforcement actionsThomson Reuters News & InsightBy Benjamin Skojold Enforcement actions and fines by the Financial Industry Regulatory Authority Inc.
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SEC, Congress may change rules for startups - TechFlash

SEC, Congress may change rules for startups - TechFlash | Securities Fraud | Scoop.it
SEC, Congress may change rules for startupsTechFlashIt also increases the number of shareholders that requires a company to make an initial public offering and report to the SEC from 500 to 1000.
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SEC Urges US Congress to Amend Dodd-Frank's Swap-Data Rules - BusinessWeek

SEC Urges US Congress to Amend Dodd-Frank's Swap-Data Rules - BusinessWeek | Securities Fraud | Scoop.it
SEC Urges US Congress to Amend Dodd-Frank's Swap-Data RulesBusinessWeekThe requirement “interferes with access to essential information” because most foreign governments lack authority to provide indemnification, Ethiopis Tafara, the SEC's head of...
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SEC chief: Require brokers to put investors first - CBS News

SEC chief: Require brokers to put investors first - CBS News | Securities Fraud | Scoop.it
CBS NewsSEC chief: Require brokers to put investors firstCBS NewsIn her keynote address, she underscored the SEC's mission to protect investors, while balancing the need to create an environment where financial institutions can operate efficiently...
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SEC May Target Big Banks In Lawsuit Over Mortgage-Backed Securities - Huffington Post

SEC May Target Big Banks In Lawsuit Over Mortgage-Backed Securities - Huffington Post | Securities Fraud | Scoop.it
Thomson Reuters News & InsightSEC May Target Big Banks In Lawsuit Over Mortgage-Backed SecuritiesHuffington Post... financial instruments in the hopes of preventing another one.
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SIPC Ordered to Say Why It Shouldn't Cover Stanford Victims - BusinessWeek

SIPC Ordered to Say Why It Shouldn't Cover Stanford VictimsBusinessWeek9 (Bloomberg) -- The Securities Investor Protection Corp. was ordered by a federal judge to explain why it shouldn't begin a claims process for the victims of R.
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Former SEC Attorney: Can Drive A Truck Through the Openings in 'The Stock Act' - CNBC.com

Former SEC Attorney: Can Drive A Truck Through the Openings in 'The Stock Act' - CNBC.com | Securities Fraud | Scoop.it
CNBC.comFormer SEC Attorney: Can Drive A Truck Through the Openings in 'The Stock Act'CNBC.comJacob Frenkel, former SEC attorney and partner at Shulman Rogers, weighed in.
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Several Cleveland-area accountants, lawyers named in securities fraud lawsuit - Plain Dealer

Several Cleveland-area accountants, lawyers named in securities fraud lawsuit - Plain Dealer | Securities Fraud | Scoop.it
Plain DealerSeveral Cleveland-area accountants, lawyers named in securities fraud lawsuitPlain Dealer"The goal of civil litigation is to seek culpable pockets and recover from those pockets," said Frenkel, a partner at Shulman Rogers in Potomac,...
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How to spot investment fraud - Reuters

How to spot investment fraud - Reuters | Securities Fraud | Scoop.it
How to spot investment fraudReuters"Fraud is based on trust. Social media ... is almost a perfect platform to commit affinity fraud." Investment scams, in general, are driven by victims' belief that the opportunities presented are credible.
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SEC Is Avoiding Tough Sanctions for Large Banks - New York Times

SEC Is Avoiding Tough Sanctions for Large Banks - New York Times | Securities Fraud | Scoop.it
New York TimesSEC Is Avoiding Tough Sanctions for Large BanksNew York TimesBy granting exemptions to laws and regulations that act as a deterrent to securities fraud, the SEC has let financial giants like JPMorganChase, Goldman Sachs and Bank of America...
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Judge Rakoff's Wall Street Zombies Arise In FINRA Citi Settlement - Forbes

Judge Rakoff's Wall Street Zombies Arise In FINRA Citi Settlement - Forbes | Securities Fraud | Scoop.it
ForbesJudge Rakoff's Wall Street Zombies Arise In FINRA Citi SettlementForbesThe Financial Industry Regulatory Authority (“FINRA”) just issued a press release: “FINRA Fines Citi International Financial $600000 and Orders Restitution of $648000 for...
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Citigroup Settlement With SEC to Be Reviewed in September - BusinessWeek

Citigroup Settlement With SEC to Be Reviewed in September - BusinessWeek | Securities Fraud | Scoop.it
Courthouse News ServiceCitigroup Settlement With SEC to Be Reviewed in SeptemberBusinessWeekIn November, US District Judge Jed Rakoff denied approval of the settlement, which was intended to resolve SEC claims that Citigroup, the third biggest US ...
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SEC continues push to change money market funds - CBS News

SEC continues push to change money market funds - CBS News | Securities Fraud | Scoop.it
CBS NewsSEC continues push to change money market fundsCBS News(MoneyWatch) COMMENTARY A long-simmering debate about the future of money market funds is heating up, as the SEC signals it wants changes that a fund industry executive on Monday said ...
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FINRA Bars Rep From Industry for Investments in Unusual, Leveraged ETFs - On Wall Street

FINRA Bars Rep From Industry for Investments in Unusual, Leveraged ETFs - On Wall Street | Securities Fraud | Scoop.it
FINRA Bars Rep From Industry for Investments in Unusual, Leveraged ETFsOn Wall StreetAccording to FINRA, Michael Venable of Tyler, Texas, made unsuitable investments for “unsophisticated clients with conservative investment objectives and risk profiles”...
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Judge Slams FINRA Arbitration - Huffington Post

Judge Slams FINRA Arbitration - Huffington Post | Securities Fraud | Scoop.it
Judge Slams FINRA ArbitrationHuffington PostMs. Evans specializes in representing broker-dealers in arbitrations before the Financial Industry Regulatory Authority (FINRA).
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FINRA fines Citi International Financial for excessive markups, markdowns - Banking Business Review

AdvisorOneFINRA fines Citi International Financial for excessive markups, markdownsBanking Business ReviewThe Financial Industry Regulatory Authority (FINRA) has fined Citi International Financial Services for charging excessive corporate and...
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SEC charges Oregon firm with insider trading - MarketWatch

SEC charges Oregon firm with insider tradingMarketWatchThe SEC asserts that Kinnucan and his firm obtained insider information on companies and then sold that information to hedge funds and investment advisers.
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SEC Reaches Settlement in Bear Stearns Fraud Case - New York Times

SEC Reaches Settlement in Bear Stearns Fraud Case - New York Times | Securities Fraud | Scoop.it
New York TimesSEC Reaches Settlement in Bear Stearns Fraud CaseNew York TimesThe criminal case was viewed as an early test of the government's ability to win convictions tied to the subprime mortgage-related investments that banks sold during the...
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BDs Watch Out: FINRA Issues 2012 'Watch List' - AdvisorOne

BDs Watch Out: FINRA Issues 2012 'Watch List' - AdvisorOne | Securities Fraud | Scoop.it
AdvisorOneBDs Watch Out: FINRA Issues 2012 'Watch List'AdvisorOneBy Melanie Waddell, AdvisorOne The Financial Industry Regulatory Authority (FINRA) on Tuesday released its 2012 regulatory and examination “watch list,” which provides a laundry list...
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This Woman Duped Investors Into Buying Phony Shares Of Facebook - Business Insider

This Woman Duped Investors Into Buying Phony Shares Of Facebook - Business Insider | Securities Fraud | Scoop.it
Business InsiderThis Woman Duped Investors Into Buying Phony Shares Of FacebookBusiness Insider"I was scammed," Randy Stafford, Oleson's contractor, told the station.
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CONSUMER AFFAIRS: Social media and investing - nwitimes.com

CONSUMER AFFAIRS: Social media and investing - nwitimes.com | Securities Fraud | Scoop.it
CONSUMER AFFAIRS: Social media and investingnwitimes.comOf course, investments sounding too good to be true probably are. Also, since investments by their nature pose some risk, promises of guaranteed returns should raise red flags.
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SEC to Family Offices: Brother-In-Law Must Exit - Barron's (blog)

SEC to Family Offices: Brother-In-Law Must Exit - Barron's (blog) | Securities Fraud | Scoop.it
CFA Institute Enterprising InvestorSEC to Family Offices: Brother-In-Law Must ExitBarron's (blog)Guin is one of the nation's go-to guys on how SEC regulations intersect with family offices.
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