LOS ANGELES – A former San Gabriel Valley resident who ran Los Angeles County-based investment companies and was a frequent guest on financial television …
Damian Williams, the United States Attorney for the Southern District of New York, announced that JOSHUA BURRELL was sentenced today to 48 months in prison …
OAKLAND – John Mendes, a registered investment advisor, was charged in a federal information filed today with securities fraud for trading upon non-public inside information, …
OAKLAND – John Mendes, a registered investment advisor, was charged in a federal information filed today with securities fraud for trading upon non-public inside information, …
(This Sep. 17 story has been refiled to show that market makers were approved for STAR Market in headline) SHANGHAI (Reuters) – (This Sep. 17 …
LONDON (Reuters) – Barclays said investors have submitted claims for $7 billion out of $17.7 billion worth of securities it sold in error, under the …
SAN JUAN, Puerto Rico – Carlos Maldonado, owner of Business Planning Resources International Corporation (BPRIC), Glorimar Fashions and Tailoring, LLC, Global Business Insurance Agency Inc., …
By Lananh Nguyen NEW YORK (Reuters) – Barclays PLC is very “far along” in discussions with the U.S. Securities and Exchange Commission after it sold …
NEW YORK, NY – the Department of Justice has announced the arrest of a New York City woman on charges of Securities fraud and wire …
HONG KONG (Reuters) – Citigroup has hired three bankers for its planned China securities business, according to a person familiar with the matter. It hired …
SALT LAKE CITY- On August 30, 2022, after a three-day trial, a federal jury in the District of Utah found Thomas Fairbanks, 69, of Logan, …
Acting United States Attorney Nicholas Vassallo announced today that two men were sentenced to prison after being convicted of fraud and identity theft crimes arising …
Assistant U. S. Attorney Aaron P. Arnzen (619) 546-8384 NEWS RELEASE SUMMARY – August 31, 2022 SAN DIEGO – San Diego-based corporate and securities attorney …
BOSTON – A California man has been arrested in connection with his alleged involvement in a sophisticated securities fraud scheme that generated over $7 million …
Earlier today, Ivars Auzins, a citizen of Latvia, was extradited to the United States on a six-count indictment charging him with wire fraud, securities fraud, …
BOSTON – An Everett man has been charged in a superseding indictment in connection with two securities fraud schemes: one involving an alleged pump-and-dump and …
Earlier today, in federal court in Brooklyn, Lee Cohen, a citizen of the United Kingdom, pleaded guilty to conspiracy to commit securities fraud for his …
SHANGHAI – China’s securities regulator chief said they will make stable capital market operations a top priority amid deepening worries about the economic outlook and …
(This content was produced in Russia where the law restricts coverage of Russian military operations in Ukraine) MOSCOW – Almost one third of around 3 …
Damian Williams, the United States Attorney for the Southern District of New York, announced that JAESON BIRNBAUM, a disbarred lawyer, was sentenced today to 36 …
NEW YORK , July 9, 2022 — WHY: Rosen Law Firm, a global investor rights law firm, reminds purchasers of the securities of Unilever PLC (NYSE: …
MINNEAPOLIS – Three men have been indicted for their roles in an insider trading conspiracy involving a medical device company’s nonpublic business acquisition deal. According …
PHILADELPHIA, June 30, 2022 — Berger Montague is investigating securities fraud allegations on behalf of investors who purchased the securities Unilever PLC (“Unilever” or the “Company”) …
NEW YORK, June 24, 2022 — WHY: Rosen Law Firm, a global investor rights law firm, announces the filing of a class action lawsuit on …
CHARLOTTE, N.C. – A federal grand jury sitting in Charlotte has returned a criminal indictment charging Mac Wayne Billings, 48, of Raleigh, N.C., with securities …
For Further Information, Contact:Assistant U. S. Attorney Aaron P. Arnzen (619) 546-8384 SAN DIEGO – Andrew Hackett, from Toronto Canada, was sentenced to 46 months …
NEW YORK – Trading firms Citadel Securities and Virtu Financial Inc are collaborating on a cryptocurrency trading “eco-system” that will enable retail brokerages to offer …
WILLIAMSPORT – The United States Attorney’s Office for the Middle District of Pennsylvania announced that a former securities broker based in Memphis, Tennessee, John Sherman …
Did you lose money on investments in Innovative Industrial Properties? If so, please visit Innovative Industrial Properties, Inc. Shareholder Class Action Lawsuit or contact Peter Allocco at (212) …
Earlier today, in federal court in Central Islip, Christian Romandetti, Sr., the former Chief Executive Officer of First Choice Healthcare Solutions, Inc. (FCHS), a publicly …
Damian Williams, the United States Attorney for the Southern District of New York, announced that RULESS PIERRE was sentenced to 84 months in prison yesterday …
Damian Williams, the United States Attorney for the Southern District of New York, announced that JOSEPH CIMINO was sentenced today to 18 months in prison, …
Did you lose money on investments in Innovative Industrial Properties? If so, please visit Innovative Industrial Properties, Inc. Shareholder Class Action Lawsuit or contact Peter Allocco at (212) …
Damian Williams, the United States Attorney for the Southern District of New York, announced that defendant ELLIOT SMERLING was sentenced to 97 months in prison …
A criminal complaint was unsealed today in federal court in Brooklyn charging Idris Dayo Mustapha, a citizen of the United Kingdom, with computer intrusion, securities …
NEWARK, N.J. – An investment fund manager was sentenced today to 109 months in prison for orchestrating a $100 million securities fraud scheme, U.S. Attorney …
LOS ANGELES – A Santa Clarita resident who invested in real estate and sold “coupon bonds” that promised regular interest payments on top of …
By John McCrank NEW YORK – Ken Griffin, the billionaire founder of Citadel Securities, one of the world’s biggest market-making firms, said on Monday he …
Did you lose money on investments in Innovative Industrial Properties? If so, please visit Innovative Industrial Properties, Inc. Shareholder Class Action Lawsuit or contact Peter Allocco at (212) …
(Reuters) – Russia’s top private lender Alfa Bank has given its brokerage clients until midnight on Monday to transfer foreign securities to another platform, explaining …
ZURICH – The head of Credit Suisse’s securities joint venture in China, Tim Tu, has stepped down to pursue other opportunities within the Swiss bank, …
SACRAMENTO, Calif. — Hector Absi, 51, of Las Vegas, Nevada, was sentenced today to two years in prison for conspiracy to commit mail fraud, wire …
NEWARK, N.J. – A Denver, Colorado, CEO today admitted conducting a securities scheme to fraudulently obtain $11 million from investors through various misrepresentations about fund …
LONDON – HSBC said on Wednesday it had increased its stake in its China securities brokerage, through a deal to buy equity from its state-owned …
WASHINGTON – The U.S. Securities and Exchange Commission (SEC) on Tuesday said it has identified a “control deficiency” that gave enforcement staff access to certain …
TRENTON, N.J. – A New York man was sentenced to 56 months in prison on March 31, 2022 for perpetrating a scheme to defraud more …
WASHINGTON -The U.S. Securities and Exchange Commission (SEC) on Wednesday flagged crypto-assets, information security, the private fund sector and environmental, social and governance issues among …
OAKLAND–A federal grand jury handed down an indictment charging Dileep Kumar Reddy Kamujula with securities fraud in connection with alleged illegal securities trading based on …
Assistant U.S. Attorney Carl F. Brooker, IV (619) 546-7994 NEWS RELEASE SUMMARY – March 17, 2022 SAN DIEGO – David John Nava of La Jolla …
– Russia’s second-largest state lender VTB, which has been targeted by Western sanctions, said on Thursday it would hand over servicing of foreign securities to …