State Securities Regulators Reach Settlement with Vanguard
State Securities Regulators Reach Settlement with Vanguard **TRENTON, NJ** – The Office of the Attorney General, Division of Consumer Affairs, and Bureau of Securities have announced that New Jersey is part of…
China securities regulator approves first batch of market makers for STAR market
(This Sep. 17 story has been refiled to show that market makers were approved for STAR Market in headline) SHANGHAI (Reuters) – (This Sep. 17 story has been refiled to show that…
Barclays: $7 billion worth of securities sold in error have been claimed
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 terms of a so-called rescission offer by…
Man Sentenced to 135 months for Operating a “Ponzi” Scheme and Committing Securities and Bank Fraud
SAN JUAN, Puerto Rico – Carlos Maldonado, owner of Business Planning Resources International Corporation (BPRIC), Glorimar Fashions and Tailoring, LLC, Global Business Insurance Agency Inc., and associated under the incorporation documents with…
Barclays is ‘far along’ in discussions with SEC on securities selling error -CEO
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 securities in breach of U.S. rules, the…
New York City Woman Charged with Securities Fraud
NEW YORK, NY – the Department of Justice has announced the arrest of a New York City woman on charges of Securities fraud and wire fraud after she attempted to defraud over…
Citigroup hires three for China securities business – source
HONG KONG (Reuters) – Citigroup has hired three bankers for its planned China securities business, according to a person familiar with the matter. It hired Kenneth Koo as the firm’s chief executive,…
Logan Man Convicted of Securities Fraud
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, guilty of securities fraud as a result…
DEFENDANTS SENTENCED TO PRISON FOR SECURITIES FRAUD AND IDENTITY THEFT RELATED TO NUTECH ENERGY RESOURCES INC.
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 from a securities fraud involving NuTech Energy…
San Diego Corporate and Securities Attorney Indicted for Securities Fraud, Assisting Planned Pump-and-Dump Scheme
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 Andrew Coldicutt is charged in a federal…
California Man Arrested for $7 Million Securities Fraud
BOSTON – A California man has been arrested in connection with his alleged involvement in a sophisticated securities fraud scheme that generated over $7 million in illicit proceeds. Joseph A. Padilla, 53,…
Latvian Individual Extradited for Securities Fraud and Wire Fraud in Cryptocurrency Scheme
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, and conspiracies to commit wire fraud and…
Everett Man Charged in Superseding Indictment for Additional Securities Fraud Scheme
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 one involving the alleged misappropriation of tens…
“Boiler Room” Operator Pleads Guilty to International Securities Fraud Conspiracy
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 role in a scheme to manipulate the…
China’s securities regulator head says stabilising market is top priority
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 fluctuations in stocks. The world’s second-largest economy…
Russians held around $14 billion in U.S. securities at end-March – central bank
(This content was produced in Russia where the law restricts coverage of Russian military operations in Ukraine) MOSCOW – Almost one third of around 3 trillion roubles ($49.1 billion) worth of foreign…
Disbarred New York Attorney Sentenced To Three Years In Prison For Multi-Million Dollar Securities Fraud Scheme
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 months in prison for defrauding investors in…
ROSEN, LEADING INVESTOR COUNSEL, Encourages Unilever PLC Investors with Losses in Excess of $100K to Secure Counsel Before Important Deadline in Securities Class Action – UL
NEW YORK , July 9, 2022 — WHY: Rosen Law Firm, a global investor rights law firm, reminds purchasers of the securities of Unilever PLC (NYSE: UL) between September 2, 2020 and July…
Three Men Federally Indicted for Insider Trading, Securities Fraud
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 to court documents, beginning in January 2018…
UNILEVER PLC Company News: Berger Montague Investigates Securities Fraud Allegations Against Unilever PLC (NYSE: UL); Lead Plaintiff Deadline is August 15, 2022
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”) (NYSE: UL) between September 2, 2020 and…
ROSEN, NATIONAL TRIAL LAWYERS, Encourages Unilever PLC Investors with Losses to Secure Counsel Before Important Deadline in Securities Class Action – UL
NEW YORK, June 24, 2022 — WHY: Rosen Law Firm, a global investor rights law firm, announces the filing of a class action lawsuit on behalf of purchasers of the securities of…
Federal Indictment Charges CPA With Securities Fraud
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 fraud, for defrauding at least 19 victims…
Canadian Citizen Sentenced to 46 Months for Pump and Dump Securities Fraud Scheme
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 in prison today for participating in a…
Trading firms Citadel Securities, Virtu building crypto-trading ecosystem- source
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 crypto-executions to their customers, according to a…
Former Tennessee Securities Broker-Dealer Sentenced To 78 Months’ Imprisonment For Embezzling $5.7 Million From Employee Pension Benefit Plan
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 Jumper, age 56, of Eads, Tennessee, was…
INNOVATIVE INDUSTRIAL PROPERTIES, INC. (NYSE: IIPR) SHAREHOLDER CLASS ACTION ALERT: Bernstein Liebhard LLP Reminds Investors of the Deadline to File a Lead Plaintiff Motion in a Securities Class Action Lawsuit Against Innovative Industrial Properties, Inc. (NYSE: IIPR)
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) 951-2030 or The Daily Caller News Foundation to discuss…
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