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https://www.sec.gov/news/press-release/2018-41
Mar 14, 2018 · The Securities and Exchange Commission today charged Silicon Valley-based private company Theranos Inc., its founder and CEO Elizabeth Holmes, and its former President Ramesh “Sunny” Balwani with raising more than $700 million from investors through an elaborate, years-long fraud in which they exaggerated or made false statements about the company’s technology, business, …
https://www.sec.gov/litigation/litreleases/lr16220.htm
Hutchison Telecommunications PCS (USA) Limited is an indirect subsidiary of Hutchison Whampoa, a Hong Kong conglomerate. The complaint alleges that the defendants violated Section 10(b)of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder.
https://www.law360.com/articles/1205456/lek-securities-ceo-to-pay-2m-to-end-sec-layering-suit
Lek Securities Corp. and its top executive settled claims brought by the U.S. Securities and Exchange Commission that they helped a Ukrainian trader manipulate the market over a three-year period ...
https://securitiesarbitrations.com/finra-files-complaint-fl-broker-dealer/
Jun 20, 2015 · For more information on FINRA securities arbitration visit our website or contact us for a free consultation. Learn more FINRA Files complaint against Florida broker-dealer. For more information on FINRA securities arbitration visit our website or contact us for a free consultation. ... FINRA Orders $3.2M in Restitution from Broker-Dealers;
https://www.sosnc.gov/divisions/securities/crowdfunding
The offer, sale, and purchase of securities are subject to a very complex system of regulation carried out by federal, state, and self-regulatory agencies. We administer and enforce North Carolina’s securities laws, which are located in Chapters 78A, 78C and 78D of the North Carolina General Statutes.
https://www.law360.com/articles/487657/stiefel-labs-ex-ceo-cleared-of-2m-securities-fraud-claim
Stiefel Labs, Ex-CEO Cleared Of $2M Securities Fraud Claim. By Nathan Hale. Law360, Miami (November 8, ... In his complaint, Fried details conversations with Charles Stiefel, whom he says he ...
http://securities.stanford.edu/
Securities fraud class action filings accelerated in 2019. Filing activity remains elevated well above historical levels by several key measures. This report, which includes expanded data on state court filings from 2010 to 2019, found that Securities Act of 1933 claims in state courts rose to 49 in 2019, a 40% increase from the previous year.
https://www.courthousenews.com/employees-say-judge-was-a-horn-dog/
Mar 03, 2010 · Employees Say Judge Was a Horn Dog March 3, 2010 CAMERON LANGFORD. GALVESTON, Texas (CN) – A former Brazoria County judge fondled worker’s breasts and sent them pornographic text messages and e-mails, and when they filed charges against him the county fired them, the chief and assistant chief of the Brazoria County Juvenile Probation ...
https://www.fa-mag.com/news/former-mlb-star-player-wins--2m-award-against-merrill-lynch-54023.html
Former MLB Star Player Wins $2M Award Against Merrill Lynch ... The complaint said the Pagáns were clear in instructing Gierbolini that they wanted only conservative investments because the money ...
https://www.complianceweek.com/regulatory-enforcement/celadon-group-to-pay-422m-in-restitution-for-accounting-fraud/26960.article
In a complaint filed Thursday in the Southern District of Indiana, the Securities and Exchange Commission alleged that between mid-2016 and April 2017, Celadon avoided recognizing at least $20 million in impairment charges and losses—almost two-thirds of its 2016 pre-tax income—by selling and buying used trucks at inflated prices from third parties.
https://calvinayre.com/2016/05/12/casino/las-vegas-sands-pays-nevada-regulators-2m-to-drop-license-violation-claim/
May 12, 2016 · Casino operator Las Vegas Sands has agreed to pay Nevada regulators $2m to settle a complaint regarding its failure to abide by the terms of its gaming license.. Last …
http://www.outlookseries.com/A0991/Financial/3615_Robert_Kelly_Wwebnet_CEO_Charged_indicted_Securities_Fraud_Robert_Kelly_Wwebnet.htm
Robert Kelly, Wwebnet CEO Charged for $2M Securities Fraud Scheme October 03, 2012 Robert Kelly, the chief executive officer of Wwebnet Inc. (Wwebnet), a software development company has been arrested on securities and wire fraud charges.
https://westfaironline.com/118478/sec-and-prosecutor-say-haitian-investment-scheme-was-2m-fraud/
Nov 07, 2019 · SEC and prosecutor say Haitian investment scheme was $2M fraud. By. Bill Heltzel - November 7, 2019. ... promising impossibly high returns from …
https://www.kallanishenergy.com/2017/07/31/halliburton-to-pay-29-2m-to-settle-angola-complaint/
Jul 31, 2017 · Halliburton to pay $29.2M to settle Angola complaint July 31, 2017 Africa , Company News , Crude Oil , Government , Natural Gas , News , North America , World 0 Oil services giant Halliburton has agreed to pay $29.2 million to settle a U.S. Securities and Exchange Commission dispute over the company’s operations in Angola, Kallanish Energy ...
https://www.dkrpa.com/blog/lpl-financial-facing-numerous-customer-complaints-and-regulatory-reit/
LPL Financial Supervisory System Failure. It may not have a household name, but LPL Financial is one of the country’s largest brokerage firms. With approximately 13,500 brokers and 6,500 offices, LPL is the country’s fourth-largest brokerage firm behind only Wells Fargo, Morgan Stanley, and Merrill Lynch.
https://www.stockattorneys.com/prudential-to-pay-2m.html
Call (877) 786-2552 - The Blum Law Group is dedicated to serving our clients with a range of legal services including Securities Fraud and Class Action cases. Prudential to pay $2M - …
https://www.investmentnews.com/sec-seeks-to-bar-adviser-who-allegedly-stole-2m-59555
Oct 14, 2014 · SEC seeks to bar adviser who allegedly stole $2M ... the SEC said in its initial complaint filed in September 2013. In the original complaint, the SEC accused Mr. Marshall of diverting client ...
https://www.quora.com/How-do-I-file-a-financial-services-complaint-in-the-USA
Oct 31, 2019 · Complaints About Banks and Lenders Learn how to complain about a problem with a bank or a lending company, such as a mortgage provider. Bank and Credit Product Complaints Report problems with your bank, financial institution, lender, or broker. To...
https://www.ajc.com/news/local/sec-fulton-man-spent-high-tech-sub-investors-cars-gifts/SrwE1kzvFeyZbCIkkJnpTI/
The SEC has filed a complaint against an Alpharetta man who they claim spent millions of investor's money on cars, student loans and gifts. ... N. Fulton man spent high-tech sub investors’ $1.2M ...Author: Mitchell Northam
http://securities.stanford.edu/filings-documents/1011/BAANF98/001.html
) _____) COMPLAINT FOR VIOLATION OF THE SECURITIES EXCHANGE ACT OF 1934 OVERVIEW OF ACTION 1. This is a class action on behalf of purchasers of Baan Corp. ("Baan" or the "Company") American Depository Receipts ("ADR's") between January 30, …
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