The Stockbroker Fraud Blawg will contain information and commentary related to fraud and other misconduct committed by stockbrokers and other financial professionals. I am currently developing this blog, as well as the Investment Fraud Blawg, the Securities Fraud Blawg, the Securities Arbitration Blawg, and the Consumer Fraud Blawg. Please bear with me while I finish a few administrative matters. I expect to have these blawgs officially up and running within the next few days.
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- 4 of 11 Tesla board members to step down by 2020... $20 million fine in a deal with the stock market regulatory authority, Securities and Exchange Commission (SEC), to resolve securities fraud charges.
- San Francisco online lending firm settles with SEC over fraud chargesSan Francisco online lending firm settles with SEC over fraud charges ... fraud charges with the U.S. Securities and Exchange Commission (SEC), the ...
- Alleged 'Truckers Paradise' scammer extradited to NM... his life after being convicted in 1998 in Los Angeles of stealing more than $15.6 million from 559 investors through federal mail and securities fraud.
- Tesla to Shrink Board of Directors by Four PeopleMr. Musk stepped down as chairman last year as part of an agreement to settle a securities-fraud lawsuit brought by the Securities and Exchange ...
- Apple accused in US lawsuit of securities fraud on iPhone sales in ChinaApple Inc., one of the most cherished among the FAANG stocks (Facebook, Apple, Amazon, Netflix & Google) of Nasdaq Composite, had been ...
- Elon Musk, SEC Need More Time to 'Put on Their Reasonabless Pants'While the Tesla CEO and the securities regulator have yet to reach an ... the settlement after the SEC claimed the verbiage constituted securities fraud.
- Tesla announces departure of four board membersThe agency later sued Musk, alleging that he committed securities fraud. Musk later reached a settlement with the SEC. Earlier this month, a judge ...
- Ex-FourWinds CEO says judge erred in sentencing him to 15 years in prisonBates pleaded guilty to eight felonies — including securities fraud and money laundering — rather than stand trial. A jury convicted Uresti and Cain in ...
- US Attorney's Office seeks to liquidate Orono businessman's assets to fund restitutionThe complaint seeks to liquidate millions in assets that were purchased with money that was part of Flynn's tax fraud scheme, the release says.
- Third Abraaj Group Exec Arrested, Charged With FraudSivendran Vettivetpillai, a managing partner of Abraaj Group, is charged with securities fraud and conspiracy to commit securities fraud and wire fraud ...
- Silicon Valley Company Settles Fraud Charge for Misstating Returns to InvestorsThe Securities and Exchange Commission today announced that Prosper Funding LLC will pay a $3 million penalty for miscalculating and materially overstating annualized net returns to retail and other investors. San Francisco-based Prosper is a marketplace lender that, through its website, offers and sells securities linked to the performance of its consumer credit loans. According to […]
- SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers on June 27, 2019The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2019 National Compliance Outreach Program for Broker-Dealers, which will be held June 27, 2019, in Chicago. The program is designed to provide an open forum for regulators and industry professionals including compliance, internal audit, and other senior personnel of broker-dealer firms […]
- Sara Cortes and David Bartels Named Deputy Chief Counsels of the Division of Investment ManagementThe Securities and Exchange Commission today announced that Sara Cortes and David P. Bartels have been named Deputy Chief Counsels of the Division of Investment Management. As Deputy Chief Counsels, Ms. Cortes and Mr. Bartels will join a leadership team and staff that are responsible for responding to requests for legal and policy guidance, evaluating […]
- SEC Charges Former Woodbridge Directors of Investment With FraudThe Securities and Exchange Commission today charged two former directors of investments at Woodbridge Group of Companies LLC for their roles in its massive Ponzi scheme. The defendants, California-based Ivan Acevedo and Dane R. Roseman, were separately arrested and charged by criminal authorities, along with Woodbridge owner Robert H. Shapiro. The SEC previously charged Woodbridge and Shapiro, and Woodbridge’s highest-earning unregistered brokers. In […]
- SEC Issues Agenda for April 15 Meeting of the Fixed Income Market Structure Advisory CommitteeThe Securities and Exchange Commission today released the agenda for the April 15 meeting of the Fixed Income Market Structure Advisory Committee. The Commission established the advisory committee to provide a formal mechanism through which the Commission can receive advice and recommendations on fixed income market structure issues. The meeting will be held at the […]