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SEC Obtains Judgment Against Attorney Charged with Multi-Million Dollar Offering Fraud

The United States District Court for the Eastern District of New York has entered a final judgment against Shimon Rosenfeld, a Brooklyn-based attorney who...

UDF Executives Facing 20 Years in Prison Lose Bid to Remain...

Four United Development Funding executives who were recently sentenced to a combined 20 years in federal prison for fraud have lost their bid to...

Opinion: The SEC’s Tyrannical Gag Orders

By: Publius A gag order, as often issued by a court, occurs when a judge bars trial participants from discussing trial-related material outside of the...

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...

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 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...

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...

SEC Charges Former LPL/Wells Fargo Broker with Stealing $680,000 from Clients

The Securities and Exchange Commission has charged Mario E. Rivero Jr., a former broker and investment adviser, with misappropriating at least $680,000 from his...