Archives
- 2012.02.20: Broward Man Accused of Running a Ponzi Scheme
- 2012.02.16: CitiMortgage Agrees To Settle Whistleblower Lawsuit For $158.3 Million
- 2012.02.16: Gunnison Energy and SG Interests Pay $550,000 to Settle Whistleblower Action
- 2012.02.16: FINRA Fines Citigroup $750,000 For Failing To Retain E-Mails
- 2012.02.15: LPL Financial Hit With $1.4 Million Award
- 2012.02.10: TriWest Healthcare Settles Qui Tam Action for $10 Million
- 2012.02.09: Boca Raton Resident Sentenced for Selling Fraudulent Business Opportunities
- 2012.02.09: Dava Pharmaceuticals to Pay $11 Million to Settle Whistleblower Suit
- 2012.02.08: 14 Hospitals Settle False Claims Act Litigation For $12 Million
- 2012.02.07: U.S. Charges Medical Imaging Company With Paying Kickbacks In Return For Medicare Test Referrals
- 2012.02.07: NASAA Cautions Investors Against Blindly Chasing Higher Returns
- 2012.02.07: Illinois Resident Charged With $4 Million Investment Fraud
- 2012.02.02: Florida Resident Convicted in $7 Million Stock Manipulation Scheme
- 2012.02.02: Charles Schwab & Co. Charged With FINRA Violations
- 2012.02.01: FINRA Adds Allegations to Pending Complaint Against David Lerner & Associates
- 2012.01.27: SEC Charges Florida-Based Company and Its Founder With Running Boiler Room Stock Scheme
- 2012.01.27: FINRA Issues Investor Alert Regarding Compromised Email Accounts
- 2012.01.26: FINRA Arbitrators Award $1.2 Million to Former Boston Red Sox Catcher
- 2012.01.26: Cayuga Medical Center Settles Qui Tam Lawsuit for $3.5 Million
- 2012.01.26: Merrill Lynch Fined $1 Million for Failing to Arbitrate Employee Disputes
- 2012.01.25: Florida Businessman Pleads Guilty to Fraud
- 2012.01.24: Boeing Settles Qui Tam Lawsuit
- 2012.01.24: Johnson and Johnson Settles Texas Qui Tam Action
- 2012.01.24: Maersk Line Whistleblower to Receive $3.6 Million From Qui Tam Settlement
- 2012.01.24: Patient Exposes $150 Million Medicaid Fraud
- 2012.01.24: U.S. Intervenes in Qui Tam Action Against AseraCare Hospice
- 2012.01.23: FINRA to Brokerage Firms: Heightened Supervision Required for Complex Products
- 2012.01.20: Defunct Brokerage Firm CapWest Ordered to Pay $9M Award
- 2012.01.19: Florida Man Sentenced to 51 Months in Prison For Investment Fraud
- 2012.01.18: $67 Million Verdict Against TD Bank in Scott Rothstein Related Case
- 2012.01.17: Qui Tam Lawsuit Against New York City Settled for $70 Million
- 2012.01.10: SEC Changes Policy For Some Settlements
- 2012.01.05: SEC Issues Investor Alert Regarding Social Media and Investing
- 2011.12.27: COLORADO COURT UPHOLDS $54.1 MILLION AWARD AGAINST CITIGROUP
- 2011.12.27: FINRA FINES BARCLAYS CAPITAL $3 MILLION FOR MISREPRESENTATIONS MADE ON ITS WEBSITE REGARDING RESIDENTIAL MORTGAGE SECURITIZATIONS
- 2011.12.27: FINRA FINES CREDIT SUISSE SECURITIES $1.75 MILLION FOR REGULATORY VIOLATIONS AND SUPERVISORY FAILURES RELATING TO SHORT SALE TRANSACTIONS
- 2011.12.20: 2012 Expected To Be A Seller's Market For Variable Annuities
- 2011.12.16: Wells Fargo Fined $2M For Selling Unsuitable Reverse Convertible Securities To Seniors
- 2011.12.12: Wells Fargo to Pay $148M To Settle Bid-Rigging Case
- 2011.12.02: FELTL & COMPANY AND OMNI INVESTMENT ADVISORS SETTLE WITH SEC REGARDING COMPLIANCE FAILURES
- 2011.11.29: Next Financial Group to Pay $2M in Restitution in Connection With Provident Royalties Private Placements
- 2011.11.28: $285 Million Settlement Between Citigroup and the SEC Struck Down
- 2011.11.23: Former Schwab YieldPlus Executive Agrees to Pay $150,000 Penalty to Settle SEC Charges
- 2011.11.22: Law Firm Sued by Former NFL Players
- 2011.11.18: Two Florida Residents Among Those Sued by SEC in Alleged Investment Scam
- 2011.11.17: SEC Targeting Investment Advisers With Exaggerated Registration Forms
- 2011.11.16: FINRA Reminds Firms of Their Obligations Regarding the Use of Senior Designations by Their Brokers
- 2011.11.16: FINRA Fines Chase $1.7 Million and Orders Restitution to Customers for Unsuitable Sales of UITs and Floating-Rate Loan Funds
- 2011.11.14: SEC Charges San Diego, CA, Investment Firm and its Owner with Securities Fraud
- 2011.11.11: FINRA FINES MORGAN STANLEY $1 MILLION AND ORDERS RESTITUTION FOR EXCESSIVE MARKUPS AND MARKDOWNS CHARGED TO CUSTOMERS
- 2011.11.10: Anti-Fraud Hotline Offers Financial Help to Seniors
- 2011.11.07: PROPOSAL ON THE TABLE TO END TAX EXEMPT STATUS FOR MUNICIPAL BONDS
- 2011.11.04: MORNINGTAR TO OFFER RATINGS ON NON-TRADED REITS
- 2011.11.03: CONGRESS MULLS BILL TO IMPOSE FINANCIAL TRANSACTIONS TAX
- 2011.11.03: SIPC ANNOUNCES THE LIQUIDATION OF MF GLOBAL UNDER THE SECURITIES INVESTOR PROTECTION ACT (SIPA)
- 2011.11.03: FINRA FINES UBS SECURITIES $12 MILLION FOR REGULATORY VIOLATIONS AND SUPERVISORY FAILURES RELATING TO SHORT SALE TRANSACTIONS
- 2011.11.03: SEC ORDERS FINRA TO IMPROVE INTERNAL COMPLIANCE POLICIES AND PROCEDURES
- 2011.11.03: LOSSES CAUSED BY INVESTMENTS IN CHURCH BONDS
- 2011.10.27: Two South Floridians Charged With "Free Riding" Stock Sales Scam
- 2011.10.17: West Palm Beach Attorneys Announce Payment of $3.1 Million Settlement
- 2011.10.17: FINRA Fines Merrill Lynch $1 Million for Failing to Monitor Employees After Broker Found Running Ponzi Scheme
- 2011.10.13: SEC Receives Emergency Order to Stop Green-Product-Themed Ponzi Scheme
- 2011.09.29: UBS Trader Kweku Adoboli Loses $2.3 Billion in Unauthorized Trades
- 2011.09.29: SEC Sues Florida Men For Operating Ponzi Scheme That Defrauded Teachers and Retirees
- 2011.09.16: SEC Charges Texas Man With Securities Fraud on Deaf Community
- 2011.09.16: FINRA Fines Broker-Dealers For Improper Handling Fees
- 2011.09.02: SEC Stops Fraud by Hedge Fund Manager
- 2011.08.11: SEC Charges Stifel Nicolaus with Selling Fraudulent Investments to School District
- 2011.07.29: SunTrust Robinson Humphrey and SunTrust Investment Services Fined a Total of $5 Million by FINRA for Auction Rate Securities Violations
- 2011.07.22: JANNEY MONTGOMERY CHARGED BY SEC WITH FAILING TO MAINTAIN AND ENFORCE POLICIES TO PREVENT MISUSE OF MATERIAL NONPUBLIC INFORMATION
- 2011.06.23: Morgan Keegan Settles Fraud Charges for $200 Million
- 2011.06.04: SEC AND FINRA ISSUE INVESTOR ALERT ON STRUCTURED NOTES WITH PRINCIPAL PROTECTION
- 2011.05.25: SEC Charges UBS With Fraudulent Rigging of Municipal Bond Transactions
- 2011.04.15: Citigroup Hit for $54 Million in FINRA Arbitration Award Relating to MAT/ASTA Funds
- 2011.04.07: Group for Colonial Bank and Taylor, Bean & Whitaker Charged for $1.5 Billion Kiting Scheme
- 2011.02.16: UBS Under Investigation for Puerto Rico Closed-End Bond Funds
- 2011.02.10: JPMorgan Chase Responds to Claims by Madoff Trustee
- 2011.02.09: SEC Charges Hedge Fund Manager for Misappropriating Investor Assets
- 2011.02.06: SEC Charges TD Ameritrade for Failure to Supervise Its Brokers
- 2011.01.05: FINRA Expels Brokerage Firm and Its Employees for Draining $1 million From Elderly Investor
- 2011.01.05: Sarasota's Diamond Appeals Conviction
- 2010.12.18: SEC Charges Lawyer with Aiding and Abetting Client's Fraud
- 2010.11.23: Prosecutors Seek 22-Year Prison Sentence for Diamond
- 2010.11.21: SEC Charges Two Madoff Employees for Participating in Ponzi Scheme
- 2010.11.10: Wife of Nadel's Business Partner Surrenders Property as Settlement
- 2010.11.10: Former 'CHiPs' Star Pleads Guilty to Securities Fraud
- 2010.11.04: Universal Fiduciary-Duty Standard Could Be Costly
- 2010.11.01: NFL Players - Targets of Broker Abuse
- 2010.10.28: Arthur Nadel Sentenced to 14 Years in Prison
- 2010.10.28: Dept. of Labor Sues Investment Firms Over Madoff Losses
- 2010.10.20: As Sentencing Approaches, Nadel Deflects Blame
- 2010.10.17: SEC Sues Florida Hedge Fund and Its Managers Involved in Petters Ponzi Scheme
- 2010.10.17: SEC Settles With Countrywide's Former CEO for $67.5 Million
- 2010.10.14: Trial Set for Founder of Alanar, Inc.
- 2010.10.14: SEC Wins Securities Fraud Trial Against Miami-Based Companies and Its Owners
- 2010.10.06: Floridian Pays Nearly $2.9 Million in Restitution Following Mail Fraud
- 2010.10.06: SEC Charges Two Florida Companies and Their CEOs for Pump-and-Dump Schemes
- 2010.09.29: FINRA Proposes All-Public Arbitration Panels For Customer Disputes
- 2010.09.29: Financial Advisor to NFL Players Pleads Guilty to Securities Fraud
- 2010.09.22: Three South Floridians Arrested for Investment Scheme Targeting Haitians
- 2010.09.21: Investors Seek Uniform Fiduciary Duty Rules
- 2010.09.20: Broker Who Ran $66 Million Ponzi Scheme Gets Probation
- 2010.09.16: Miami Businessman Pleads Guilty to $880 Million Ponzi Scheme
- 2010.09.16: Advisor Invested in Two Ponzi Schemes, Now Charged By SEC
- 2010.09.13: International Ponzi Schemer Now Being Investigated in Orlando
- 2010.09.07: Madoff Judge Asks Gibraltar to Turn Over $73.1 Million
- 2010.09.07: SEC Charges Investment Advisor with Multi-Million Dollar Fraudulent Offering
- 2010.09.02: Shapiro to Enter Plea Agreement
- 2010.09.01: FINRA Orders Raymond James to Pay $925,000 to Couple
- 2010.08.29: SEC Freezes Assets of Spanish Traders for Insider Trading
- 2010.08.23: Hialeah Jeweler Accused of $40 Million Ponzi Scheme
- 2010.08.16: Securities Regulators Issue Report on Best Practices to Protect Senior-Citizen Investors
- 2010.08.02: Citigroup Charged with Misleading Investors About Subprime Mortgages
- 2010.07.27: National Retirement Partners Ordered by Arbitration Panel to Pay $2 Million
- 2010.07.26: Diamond Convicted on 18 Counts in Federal Court
- 2010.07.16: SEC SETTLES WITH GOLDMAN SACHS FOR $550 MILLION
- 2010.07.09: SEC Charges ENI, S.p.A and Snamprogetti with Foreign Corrupt Practices for Bribery Scheme
- 2010.07.01: FINRA Bars Former Deutsche Bank Advisor from Securities Industry for Stock-Price Manipulation
- 2010.06.23: SEC CLAIMS $27.7 MILLION PONZI SCHEME ORCHESTRATED BY PALM BEACH GARDENS INVESTMENT GROUP
- 2010.06.16: Coral Gables Broker Accused of "Affinity" Scam Toward Venezuelan Clients
- 2010.06.13: SEC Charges Canadians in $300 Million Ponzi Scheme
- 2010.06.09: Scott Rothstein Gets 50 Years in Federal Prison for Orchestrating Florida Ponzi Scheme
- 2010.06.07: SEC Charges Miami Fraudster in Ponzi Scheme for "No-Risk" Loan Agreements
- 2010.06.03: FINRA Issues Regulatory Notice 10-22 on Regulation D Offerings for Private Placements
- 2010.06.01: Investor Receives Arbitration Award by Default for Reg D Private Placement Investment
- 2010.06.01: South Florida Senior Citizen Bilked in Investment Scam
- 2010.05.21: FINRA Expels MICG for Fraud in Managing Hedge Fund
- 2010.05.21: Nadel Ponzi Scheme Victims Sue Promoter and Florida Investment Newsletter
- 2010.05.17: SEC Charges Two Boca Raton Investors for Illegal Short Selling
- 2010.05.05: South Florida Insurance Agent Charged With Scamming Seniors in alleged STOLI Scheme
- 2010.05.05: SEC Charges Prominent Miami Beach Businessman in $900 Million Ponzi Scheme
- 2010.04.28: Court Rules That Schwab Yield-Plus Fund Failed to Secure Shareholder Consent
- 2010.04.19: SEC Sues Goldman Sachs for Investor Fraud
- 2010.04.12: Tom Petters gets 50 Year Sentence for $3.6 Billion Ponzi Scheme
- 2010.04.08: Morgan Keegan and Two Employees Charged With Securities Fraud for Overstating Value of Mortgage-Backed Securities
- 2010.04.05: State Securities Regulators Are Poised to Receive More Authority to Oversee Advisory Firms
- 2010.03.31: Understanding Equity-Indexed Annuities and Their Risks
- 2010.03.30: "Guaranteed Income Advantage" Rider Offered by North American Company for Life and Health Insurance
- 2010.03.26: Investors Should be Wary of Broker Sales Pitches to Buy Variable Annuities
- 2010.03.25: SEC Halts Ponzi Scheme Preying on Retirees Attending Estate Planning Seminars
- 2010.03.24: Provident Asset Management Expelled for Private Placements in Massive Ponzi Scheme
- 2010.03.23: SEC Charges Florida Couple in $135 Million Ponzi Scheme
- 2010.03.16: First Allied Securities Settles with the SEC for $1.95 Million
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Feb 20, 12 10:27 AM Broward Man Accused of Running a Ponzi Scheme A Ft. Lauderdale man, George Elia, who is currently under investigation by the Florida Office...
Feb 16, 12 03:07 PM CitiMortgage Agrees To Settle Whistleblower Lawsuit For $158.3 Million The United States Attorney for the Southern District of New York and the General Counsel...
Feb 16, 12 11:11 AM Gunnison Energy and SG Interests Pay $550,000 to Settle Whistleblower Action The Department of Justice announced that Gunnison Energy Corporation ("GEC"), an affiliate of Oxbow Corporation,...
Feb 16, 12 10:12 AM FINRA Fines Citigroup $750,000 For Failing To Retain E-Mails The Financial Industry Regulatory Authority ("FINRA") announced it has censured and fined Citigroup $750,000 for...
Feb 15, 12 11:08 AM LPL Financial Hit With $1.4 Million Award Last week, a Financial Industry Regulatory Authority ("FINRA") arbitration panel awarded an elderly California couple...
Feb 10, 12 11:33 AM TriWest Healthcare Settles Qui Tam Action for $10 Million TriWest Healthcare Alliance Corporation, a contractor for TRICARE, has agreed to resolve a qui tam,...
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