China securities regulator to push forward overseas-listing rules
SHANGHAI – China’s securities regulator on Wednesday said it will continue to communicate with U.S. regulators and strive to reach an agreement on China-U.S. audit …
Securities
Ex-PBOC adviser expects China to cut rates further – China Securities Journal
SHANGHAI – China will further cut interest rates to stabilise the economy, as shrinking China-U.S. yield spreads won’t change Beijing’s monetary policy loosening bias, the …
China issues draft rules for securities offenses compensation
SHANGHAI – China’s securities regulator on Friday published draft rules on how fines for securities fraud offenses will be prioritised to compensate investors in civil …
Essex County Man Sentenced to 108 Months in Prison for Mortgage and Securities Fraud Schemes
NEWARK, N.J. – An Essex County, New Jersey, man was sentenced today to 108 months in prison for conspiring to obtain mortgage loans to finance …
John Barksdale Charged With Cryptocurrency Securities Fraud In Connection With Sale Of Ormeus Coin
Damian Williams, the United States Attorney for the Southern District of New York, and Ricky Patel, Acting Special Agent in Charge of the New York …
North Carolina Man Charged with Wire Fraud, Securities Fraud, and Money Laundering in Connection with Ponzi Scheme
NEWARK, N.J. – A North Carolina man was charged today for defrauding at least 25 people by operating a Ponzi scheme, U.S. Attorney Philip R. …
New York City police fund votes to divest Russian securities
– Trustees of the New York City police pension fund voted on Tuesday to divest Russian company securities, supporting a resolution brought by city Comptroller …
Fidelity Investments says more than 92% of its funds have no Russian securities
BOSTON – Fidelity Investments on Tuesday said more than 92% of its mutual funds do not have any investment in Russian securities, as of the …
BlackRock says working to ensure clients can exit Russian securities
– Top asset manager BlackRock Inc said on Tuesday it is consulting with regulators, index providers and other market participants “to help ensure our clients …
Europe carves out Russian securities from financial markets
By Huw Jones LONDON -Europe’s financial market on Monday began severing Russia’s ties to its critical plumbing for trading, clearing and settling securities as sanctions …
Russian central bank orders block on foreign clients’ bids to sell Russian securities – document
MOSCOW -Russia’s central bank has ordered professional stock market participants to suspend the execution of all orders by foreign legal entities and individuals to sell …
Ohio-Based Stock Trader Pleads Guilty To Securities Fraud
Damian Williams, the United States Attorney for the Southern District of New York, announced today that STEVEN GALLAGHER pled guilty to one count of securities …
MSCI says it won’t make previously flagged changes to Russian securities due to sanctions
HONG KONG – MSCI will not implement changes for Russian securities that it had previously announced as part of its February review, following U.S. sanctions …
Ukraine’s stock market regulator stops securities circulation
KYIV – Ukraine’s state stock market regulator on Thursday said it had decided to stop the circulation of all securities in the country, except for …
Former Founder And Ceo Of Nanotechnology Company Convicted Of Multimillion-Dollar Securities Fraud Scheme
Damian Williams, the United States Attorney for the Southern District of New York, announced that JAMES JEREMY BARBERA was convicted today following a one-week jury …
Founder And Former Chief Investment Officer Of New York Based Investment Adviser Charged With Securities Fraud And Obstruction Of Justice
Damian Williams, United States Attorney for the Southern District of New York, and Michael J. Driscoll, the Assistant Director-in-Charge of the New York Office of …
California Man Admits Role in $50 Million Wire and Securities Fraud Scheme
NEWARK, N.J. – A California man today admitted conspiring to commit wire and securities fraud in connection with his role in a $50 million internet-enabled …
Former Analyst Pleads Guilty To Securities Fraud For Committing Insider Trading By Front-Running Employer’s Pending Trades
Damian Williams, the United States Attorney for the Southern District of New York, announced today that SERGEI POLEVIKOV, a former analyst employed by an asset …
Former South Bay Executive Sentenced to Nearly Three Years in Federal Prison for Insider Trading and Securities Fraud
LOS ANGELES – A former executive at a Hawthorne-based company was sentenced today to 35 months in federal prison for trading in options contracts …
Israeli Securities Trader Sentenced To 30 Months In Prison For Role In International Insider Trading Scheme
Damian Williams, United States Attorney for the Southern District of New York, announced that DOV MALNIK, an Israeli securities trader and finance professional, was sentenced …
Manhattan Real Estate Fund Manager Charged With Securities Fraud Offenses
Damian Williams, the United States Attorney for the Southern District of New York, and Philip R. Bartlett, the Inspector-in-Charge of the New York Division of …
Hudson Valley Tequila Producer Pleads Guilty To Securities Fraud Scheme
Damian Williams, the United States Attorney for the Southern District of New York, announced that JOSEPH CIMINO, the founder of a tequila brand based in …
Ohio AG Sues Facebook For Securities Fraud, Alleges It Hid Harms To Children
Republican Ohio Attorney General Dave Yost filed a complaint against Facebook on Monday, alleging the company misled its investors. The complaint alleges that Facebook executives violated …
Chandler Man Sentenced to 30 Months for Securities Fraud and Embezzlement
PHOENIX, Ariz. – On Wednesday, Vu Anh Nguyen, 26, of Chandler, Arizona was sentenced by U.S. District Judge James A. Teilborg to 30 months in …
Ottawa County Man Pleads Guilty To Securities Fraud
GRAND RAPIDS, MICHIGAN — U.S. Attorney Andrew Birge announced today that Joshua Louis Rupp, 37, previously of West Olive, Michigan, …
Queens Man Convicted of Securities and Wire Fraud Conspiracies Relating to the Foreign Exchange Market
John Won was convicted by a federal jury in Brooklyn yesterday of all five counts of an indictment charging him with securities fraud, wire fraud …
Florida Attorney Pleads Guilty To Securities Fraud In Connection With Fraudulent Opinion Letter Scheme
Damian Williams, the United States Attorney for the Southern District of New York, announced today that THOMAS CRAFT, a licensed attorney, pled guilty in Manhattan …
Two New Jersey, One New York Securities Claims Aggregators Arrested and Charged with $40M Fraud
PHILADELPHIA – Acting United States Attorney Jennifer Arbittier Williams announced that Joseph Cammarata, 47, of Monmouth Beach, NJ; Erik Cohen, 40, of Manalapan, NJ; and …
New York Man Admits Defrauding Investors of More Than $3.5 Million through Securities Offering Scheme
TRENTON, N.J. – A New York man today admitted perpetrating a scheme to defraud more than 70 investors through a long-running securities offering fraud that …
Stock Trader Arrested And Charged With Securities Fraud For Using His Twitter Account To Operate A Pump-And-Dump Scheme
Damian Williams, the United States Attorney for the Southern District of New York, and Ricky J. Patel, Acting Special Agent-in-Charge of the New York Field …
CEO Of East Bay-Based Internet Companies Marketing Child-Friendly Services Indicted On Wire Fraud And Securities Fraud Charges
SAN FRANCISCO – A federal grand jury has indicted Alan Anderson, charging him with wire fraud and securities fraud charges related to a scheme to …
Stock Promoters Plead Guilty to “Pump and Dump” Securities Fraud Scheme
MINNEAPOLIS – Two men have entered guilty pleas to securities fraud charges in connection to their illegal pump-and-dump stock manipulation scheme, announced Acting U.S. Attorney …
Senior Executive of Oil-Services Company Pleads Guilty to Securities Fraud Scheme that Caused Over $886 Million in Shareholder Losses
WASHINGTON: A North Dakota man, formerly the executive vice president of U.S. operations at a publicly traded Canadian oil-services company, pleaded guilty today to …
Former CEO of Braskem Sentenced to 20 Months in Prison for Foreign Bribery and Securities Law Violations
BROOKLYN, NY – Earlier today, in federal court in Brooklyn, Jose Carlos Grubisich, a Brazilian national and the former Chief Executive Officer of Braskem S.A. …
Two New Jersey Men Arrested And Charged With Securities Fraud For Scheme To Defraud Investors In Hemp Company
Audrey Strauss, the United States Attorney for the Southern District of New York, and Michael J. Driscoll, the Assistant Director-in-Charge of the New York Office …
Beverlywood Man Pleads Guilty to Securities Fraud, Admitting Massive Ponzi that Falsely Claimed to License Foreign Film Rights
LOS ANGELES – A Los Angeles man pleaded guilty this afternoon to a federal securities fraud charge and admitted operating a Ponzi scheme that …