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SEC Charges Three Advisers for Recommending Multi-Million-Dollar Ponzi to Clients

The Securities and Exchange Commission filed a civil action in a Georgia district court against Michael Mooney, Britt Wright, and Penny Flippen in connection...

Former Broker Sentenced to Six Years in Prison for Embezzling Millions...

John Sherman Jumper, a former broker, was sentenced for embezzling $5.7 million from the pension benefit plan for employees of Snowshoe Refractories, a fire...

SEC Charges EIA All Weather Alpha Fund with Fraud

The Securities and Exchange Commission has charged Detroit-based EIA All Weather Alpha Fund I Partners LLC (EIA) and its sole owner, Andrew M. Middlebrooks...

UDF Executives Sentenced to a Combined 20 Years

Four United Development Funding executives were sentenced to a combined 20 years in federal prison for fraud, according to U.S. Attorney for the Northern...

SEC Obtains Final Judgement Against Former RIA Exec Who Pled Guilty...

The Securities and Exchange Commission has obtained a final judgement against Richard Diver, the former chief operating officer and co-founder of wealth management firm...

SEC Bars Adviser Accused of Defrauding Elderly Client

The Securities and Exchange Commission has barred former Michigan-based investment adviser, Steven F. Muntin, who was charged with defrauding one of his clients out...

Investment Fund Manager Sentenced to Nine Years for $100 Million Securities...

Brenda Smith, an investment adviser who previously pled guilty to securities fraud, was sentenced to 109 months in prison and ordered to pay $47.2...

SEC Obtains Judgment Against Adviser Accused of Defrauding Elderly Client

The Securities and Exchange Commission has obtained a final judgement against former Michigan-based investment adviser, Steven F. Muntin, who was charged with defrauding one...

Daughter of Imprisoned Former Securities America Broker Pleads Guilty to Federal...

The United States Attorney for the Southern District of New York reported that Vania May Bell, the former comptroller and chief compliance officer of...

SEC Orders Fund Manager to Pay $12 Million to Settle Fraud...

The Securities and Exchange Commission has ordered real estate fund manager Eric Malley and his company MG Capital Management L.P. to pay more than...
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