The Commission’s complaint alleged that Wolle and others fraudulently induced individual investors to purchase 54Freedom securities – i.e., its stock, promissory notes and “charitable gift ...
The wire fraud count to which Montague pleaded guilty alleged, among other things, that between March 2005 and October 2009, Montague willfully and knowingly devised ...
This matter concerns the failure by COR to file Suspicious Activity Reports (“SAR” or “SARs”) for certain suspicious trade and wire activity relating to the ...
Katsaros knowingly and fraudulently made a false oath and account in relation to a case under Title 11, and a false declaration, certificate, verification and ...
Credit Suisse’s representations concerning the factors that RES considered in determining price improvement levels were misleading because Credit Suisse did not disclose that non-605 orders ...
Skelley and Shah in fact diverted more than $1 million of investor funds for their personal use. The complaint also alleges that Skelley made ...
Schmidt, who was associated with an SEC-registered broker dealer, sold securities of at least seven of his customers and secretly transferred over $1 million in ...
The Newedge securities lending personnel also had no basis to believe that any of Newedge’s Borrowers were complying with the Pre-Release Obligations. To the contrary, ...
The SEC alleges that Rentzer and his broker, Brian Hirsch, had a long-running arrangement that circumvented allocation policies and procedures at two major brokerage firms, ...
She made material misrepresentations about the investment stating that the investment was without risk, was completely liquid, and featured a guaranteed rate of return of ...