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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- EPF needs governance overhaul to invest in Sri Lanka stock marketIn 2015 and 2016 EPF dealers were involved in a bond fraud where they stayed away from direct auctions and bought bonds at higher prices from a ...
- EPF needs governance overhaul, proxy advisor, to invest in Sri Lanka stock marketIn 2015 and 2016 EPF dealers were involved in a bond fraud where they stayed ... EPF is one of, if not the largest, investor in government securities.
- Fla. Asset Manager Denies Propping Up Fake Hedge FundJohn Geraci pled not guilty at an arraignment in the Southern District of New York to one count each of investment adviser fraud, wire fraud, securities ...
- Milford Man Arrested, Charged with Defrauding Elderly IndividualThe indictment charges SAKELARAKIS with five counts of wire fraud and three counts of securities fraud, offenses that carry a maximum term of ...
- Government Intervenes in Medicare Fraud Lawsuit Filed by Berger Montague Against Texas ...Government Intervenes in Medicare Fraud Lawsuit Filed by Berger ... IRS fraud, securities fraud, and commodities fraud, helping to return more than ...
- SEC Provides Regulatory Relief and Assistance for Hurricane VictimsThe Securities and Exchange Commission today announced that it is providing regulatory relief to publicly traded companies, investment companies, accountants, transfer agents, municipal advisors, and others affected by Hurricane Michael. The loss of property, power, transportation, and mail delivery due to the hurricane poses challenges for some individuals and entities that are required to provide information to the […]
- SEC Investigative Report: Public Companies Should Consider Cyber Threats When Implementing Internal Accounting ControlsThe Securities and Exchange Commission today issued an investigative report cautioning that public companies should consider cyber threats when implementing internal accounting controls. The report is based on the SEC Enforcement Division's investigations of nine public companies that fell victim to cyber fraud, losing millions of dollars in the process. The SEC's investigations focused on […]
- SEC Suspends Former BDO Accountants for Improperly “Predating” Audit Work PapersThe Securities and Exchange Commission today suspended three former BDO USA LLP accountants for their improper professional conduct during an audit of an exchange-listed insurance company. According to the SEC’s order, BDO fell behind schedule while conducting its 2013 integrated audit of AmTrust Financial Services Inc. and ultimately failed to complete necessary audit procedures before […]
- SEC’s New Strategic Plan Puts Investors, Innovation, and Performance at Top*/ /*-->*/ The Securities and Exchange Commission today announced a new strategic plan to guide the agency’s work over the next four years with a primary focus on investors, innovation, and performance. The plan’s goals reflect the agency’s commitment to its longstanding mission while leveraging the opportunities and addressing the challenges that come from fast-evolving […]
- SEC Reopens Comment Period for Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap ParticipantsThe Securities and Exchange Commission today voted to reopen the comment period and request additional comment (including potential modifications to proposed rule language) on the proposed rules and amendments for capital, margin, and segregation requirements for security-based swap dealers and major security-based swap participants and capital requirements for broker-dealers. “Reopening the comment period is an important […]