Securities News & Articles

• 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
  
  
• Stock Broker Charged With Defrauding Elderly Client
  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 $400,000.
  
  
• 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.
  
  
• California Securities Broker Charged With Securities And Wire Fraud
  usdoj.gov, Sep 16, 2005
  California Securities Broker Charged With Securities And Wire Fraud For Collusive Bidding On Municipal Bond Restructuring
  
  
• Settlement With Edward D. Jones Co. L.P
  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 allegations
  
  
• Reebok Insider Trading Case
  Enter Source, Aug 19, 2005
  SEC Charges Eight More In Reebok Insider Trading Case For Immediate Release
  
  
• SEC Charges Vermont Attorney With Insider Trading
  sec.gov, Aug 11, 2005
  Securities And Exchange Commission Today Filed Settled Insider Trading Charges
  
  
• U.S. District Court Issues Judgment In "Prime Bank" Securities
  sec.gov, Aug 05, 2005
  Fraud Case Against Unregistered Utah Broker
  
  
• Bernard Ebbers Wept Openly At The
  yahoo.com, Jul 14, 2005
  Bernard Ebbers Wept Openly At The Front Of A Manhattan Courtroom After Judge Sentenced Him To A 25-Year Prison
  
  
• Lawsuits And To Increase The Flow Of Information
  senate.gov, Jul 13, 2005
  Act To End Abusive Federal Securities Class Action Lawsuits And To Increase The Flow Of Information To Investors
  
  
• No Class Action Based On State Law
  senate.gov, Jun 30, 2005
  No Class Action Based On State Law Alleging Fraud In Connection With The Sale Or Purchase Of Covered Securities
  
  
• Federal Securities Law And The Need To Disclose
  osti.gov, Jun 22, 2005
  Federal Securities Law And The Need To Disclose The Risk Of Canceling Nuclear Plant
  
  
• Instinet Group to Release 2005 Second Quarter Results on July 22, 2005
  business wire press release, Jun 17, 2005
  U.S. trading venues, including NASDAQ and the NYSE, and almost 30 securities markets throughout the world
  
  
• SEC Charges Amerindo Investment Advisors
  sec.gov, Jun 07, 2005
  Its Co-Founders And Principals With Fraud And Misappropriation
  
  
• Securities And Exchange Commission Announced Settled Fraud
  Enter Source, Jun 01, 2005
  Securities And Exchange Commission Announced Settled Fraud Charges Against Two Subsidiaries
  
  
• Znetix Stock Salesmen Convicted Of Fraud And Conspiracy
  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 felonies
  
  
• Missouri Investors Lost Hundreds Of Thousands Of Dollars
  Missouri Secretary of State, May 12, 2005
  Carnahan Takes Action Against Kansas Broker Dealer Firm Missouri Investors Lost Hundreds Of Thousands Of Dollars
  
  
• Finance Researchers Encouraged To Study Regulation Sho Pilot That Starts May 2 For Immediate Release
  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 10a-1
  
  
• The Complaint Charges Defendants With Violations Of Sections 10(B) And 20(A) Of The Securities Exchange Act Of 1934
  prime zone, Apr 25, 2005
  The Complaint Charges Defendants With Violations Of Sections 10(B) And 20(A) Of The Securities Exchange Act Of 1934
  
  
• Representing Investors In Prosecuting Claims Of Securities Fraud
  prnewswire., Mar 30, 2005
  Schatz & Nobel P.C. Which Has Significant Experience Representing Investors In Prosecuting Claims Of Securities Fraud
  
  
• The Newly Passed Sarbanes-Oxley Act, Which Imposed Stiff Criminal Penalties For Fraud
  postherald.com, Mar 23, 2005
  The Documents Were Required Under The Newly Passed Sarbanes-Oxley Act, Which Imposed Stiff Criminal Penalties For Fraud
  
  
• Mr. Ebbers Charged Having To Do With The Overall Monetary Value Of The Securities Fraud
  forbes.com, Mar 16, 2005
  Mr. Ebbers Charged Having To Do With The Overall Monetary Value Of The Securities Fraud
  
  
• The SEC Actively Investigates Allegations Of Internet Investment Fraud And, In Many Cases
  sec.gov, Mar 15, 2005
  The SEC Actively Investigates Allegations Of Internet Investment Fraud And, In Many Cases, Has Taken Quick Action To Stop Scams
  
  
• Company violates securities law
  Press Release, Mar 14, 2005
  Law Offices of Brodsky & Smith, LLC Announces Class Action Lawsuit Against Applied Signal Technology, Inc. -- APSG
  
  
• The Securities Act Of 1933 And May Not Be Offered Or Sold Except Pursuant To An Exemption From
  yahoo.com, Mar 08, 2005
  The Outstanding Notes Have Not Been Registered Under The Securities Act Of 1933 And May Not Be Offered
  
  
• Government names new securities law administrator
  SEC, Mar 07, 2005
  SEC names new district administrator
  
  
• Scott & Scott, LLC Filed Securities Class Action Against 51job, Inc. at Beginning of February
  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, which
  
  
• Spector Roseman & Kodroff P.C. Announces the Filing of a Class Action Suit Against Sipex Corporation
  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 Californi
  
  
• Investment Adviser Charged with Fraud, Reports U.S. Attorney
  yahoo prnews, Feb 24, 2005
  The first scheme involved a fictitious
  
  
• Investment Adviser Charged with Fraud, Reports U.S. Attorney
  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 Kenne
  
  
• Mercury General Corporation Announces Fourth Quarter Results
  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 ($0.
  
  
• They Hurt Investors And Retirees Who Had Entrusted Their Financial Futures
  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 businesses.
  
  
• Four Regional Natural Gas Trading Desks Submitted False, Misleading Or Knowingly Inaccurate Trade Data
  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 J
  
  
• Securities Fraud Law Regulation Frequently Asked Questions
  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 war
  
  
• US Securities Bureau Concern For Lagging Stocks
  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 agency
  
  
• Law Enforcement Issues Warning Of Religious Securities Fraud
  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 th
  
  
• Fraudulent Schemes Including Phony Securities Investments Franchise Investments Just To Name A Few.
  Wisconsin Consumer Protection Laws, Feb 14, 2005
  Business Opportunity Frauds Many promoters urge consumers to invest in business or money-making ventures
  
  
• Man, Pled Guilty Today To One Count Of Attempting To Extort $17 Million Over The Internet.
  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 th
  
  
• Conspiracy To Commit Securities Fraud And One Count Of Securities Fraud
  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 volcanic
  
  
• Internet-related complaints accounted for 53 percent of all reported fraud complaints
  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 compla
  
  
• Securities Fraud On The Expertise Of ETD’s Service On Their Vehicles
  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 alignments
  
  
• Securities Fraud Deterrence And Investor Restitution Act, H.R. 2179
  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 t
  
  
• The Matter Involves Two Distinct Fraudulent Offerings Of Unregistered Nine-Month Promissory Notes
  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 money.
  
  
• Californians Should Be Skeptical To Send Their Money Offshore To So-Called
  ca.gov, Feb 10, 2005
  California Corporations Commissioner Demetrios A. Boutris today advised Californians to be wary of fraudulent
  
  
• Beware of high-pressure pitches for non-traditional investments
  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 state
  
  
• Settlements From Allegations Recommended Stocks Due To Influence From Their Investment Banking
  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 colle
  
  
• Protecting Yourself Against Online Investment Schemes
  Georgia Secretary of State, Feb 10, 2005
  Perhaps the most important thing to keep in mind is that there will never be enough
  
  
• Man Receives 40 Year Sentence For Commodities Fraud, Ordered To Pay $4.5 Million
  state.ga, Feb 10, 2005
  Fulton County District Attorney’s office has culminated in a guilty plea and lengthy sentence for an Atlanta man who orchestrated an investment scheme targeting dozens of
  
  
• Violated State Securities Laws In Selling More Than $4.5 Million Dollars Worth Of Promissory Notes
  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 Go
  
  
• Alerted Senior Investors To The Dangers Of Investment Fraud
  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, Main
  
  
• Maryland Man Convicted of Investment Fraud Against District Resident
  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, 2004
  
  
• AMW Insurance Group Surrenders License After Fraud Conviction
  (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 removal
  
  
• How Older Americans Can Avoid Investment Fraud and Abuse
  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 home.
  
  
• Historical Railroad Bonds Comprise The Majority Of The Bonds Used To Perpetrate Fraud
  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 Co
  
  
• Znetix Stock Fraud, The Largest Stock Fraud Ever
  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 Washingt
  
  
• How To Spot Different Types Of Internet And Security Fraud
  North American Securities Administrators Association, Feb 10, 2005
  This alert tells you how to spot different types of Internet fraud, what the SEC is doing to fight Internet investment scams, and how to use the Internet to invest wisely
  
  
• Fleet's Columbia Mutual Fund Adviser And Distributor To Pay $140 Million Sec Fraud
  sec, Feb 10, 2005
  The Securities and Exchange Commission today announced the settlement of an enforcement action against Columbia Management Advisors, Inc
  
  
• Man Pleads Guilty Internet Securities Fraud Cost Company $5.8 Million
  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 file,
  
  
• Internet Affords New Opportunity For Securities And Investment Fraud
  sec, Feb 10, 2005
  Net provides means to raise capital but attracts high-tech scam artists
  
  
• Treasury Department Office Tackles Security Fraud
  .treasury scams, Feb 10, 2005
  If the business deal falls through and we default, you cash in the collateral and make a bundle.”
  
  
• Scams Involving the Renting or Leasing of Treasury Securities
  Enter Source, Feb 10, 2005
  Many of these solicitations have originated in the United Kingdom, Greece and South Africa.
  
  
• These Security Fraud Schemes Have Attracted Significant International Attention
  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 ass
  
  
• Internet Security Fraud Popular Method For Distributing Fraudulent Messages
  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 victims
  
  
• Internet Security Fraud Method For Distributing Fraudulent Messages like Ponzi Schemes
  .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 investors
  
  
• Internet Fraud Initiative Continues To Expand As A Global Medium
  usdoj., Feb 10, 2005
  Cybercrime most likely to cause significant harm to consumers and businesses here and abroad and to
  
  
• Terry Lee Church Was Convicted On 52 Counts Securities Fraud
  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 obst
  
  
• Securities Fraud Investment Operation Bilks Consumers Out Of Hundreds Of Thousands Of Dollars
  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 out
  
  
• Have Been Victims Of Pyramid Schemes And Affinity Fraud Investment Scams
  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 scheme
  
  
• Investment Tips: Investing Carefully In The State Of Missouri And Help In Avoiding Investment Fraud
  MO Gov Article, Feb 07, 2005
  Tips On Investing Your Money Safely In Missouri, And Avoiding Investment Fraud
  
  
• SEC Charges Scott D. Sullivan, WorldCom’s Former Chief Financial Officer, with Engaging in Multi-Billion Dollar Financial Fraud
  SEC, Oct 06, 2004
  Sullivan Consents to Anti-Fraud Injunction, Permanent Bar from Serving as an Officer and Director of a Public Company, and Permanent Suspension from Practicing as an Acco
  
  

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