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Search Results: misrepresentations
Results 110-120 of about 336
Date: October 2, 2017
The claimants are alleging misrepresentation and unsuitability regarding the sale of Puerto Rico closed-end funds and bonds they purchased through Aquino-Velez, who is based in Miami, and the brokerage firm.
Date: September 28, 2017
(NMR) to overturn an order mandating that they pay $839M for the false statements, including misrepresentations, that they are accused of making while selling mortgage-backed securities to Freddie Mac (FMCC) and Fannie Mae (FNMA). The MBS fraud award was issued ...
Date: September 25, 2017
The claimants, in their oil and gas fraud case, alleged breach of fiduciary duty, negligent misrepresentation and omission, common law fraud, breach of contract, and negligence supervision.
Date: September 11, 2017
Mangione allegedly provided offering documents for the HE5 and HE4 that he knew included misrepresentations about compliance lending guidelines, loan characteristics, appraisal accuracy, and other matters.
Date: September 4, 2017
WTVR reports that among the allegations against Bank is that he caused a number of material misrepresentations and omissions to be presented to a number of investors, including a blind elderly investor who gave Bank $20K of his retirement money. ...
Date: July 17, 2017
In plea documents, Heimburger admitted to seeking to bilk investors while using false pretenses and promises, as well as by making misrepresentations. Another man, Houston resident Christopher Arnold Jiongo, pleaded guilty earlier this year to wire fraud related to the ...
Date: July 7, 2017
They are also under investigation for alleged violations of securities rules and municipal bond rules as they pertain to misrepresentation, deception and fraud related to the securities.
Date: June 28, 2017
The claimants, Madeleine Carrero (as an in individual and as the trustee of Ulises Barros Carrero and Fideicomiso Ulises Barros), accused UBS of negligence, misrepresentation, breach of fiduciary duty, unauthorized trading, unsuitability, and breach of contract.
Date: June 12, 2017
The class action securities case alleges misrepresentation and fraud. It names Babcock & Wilcox, CFO Jenny Apker, and CEO Jim Ferland as defendants.
Date: May 11, 2017
DiNucci, who pleaded guilty to fraud and conspiracy and making misrepresentations,previously worked at Nomura. He also worked at Auriga USA LLC and AOC Securities LLC. Because certain securities are hard to price, hedge funds depend on brokers and third parties ...
