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Search Results: misrepresentations
Results 140-150 of about 329
Date: February 13, 2016
According to the Financial Industry Regulatory Authority’s BrokerCheck Report, McCutchen is accused of making unsuitable investment recommendations and he has been the subject of over a dozen broker fraud claims alleging negligence, misrepresentations, and other claims.
Date: February 5, 2016
The SEC believes that Johnson, who played a central part in preparing the private placement memoranda, knew and acted in reckless disregard and was aware that misrepresentations were made to investors.
Date: February 2, 2016
They sued TCW Asset Management Company in 2012, accusing the firm of fraudulent misrepresentations and a failure to choose Dutch Hill’s RMBS collateral in the ways that it promised. The Basis Funds contended that the defendant knew that the investment ...
Date: January 29, 2016
Because of these alleged misrepresentations, QED Benchmark and Kuperman were able to secure millions of dollars from investors. The two of them are accused of not following the fund’s stated investment plan and placing most of the assets into one ...
Date: December 21, 2015
The Securities and Exchange Commission claims the 32-year-old, who has just stepped down as the CEO of Turing Pharmaceutical, misappropriated funds from two hedge funds, made material misrepresentations, and engaged in other misconduct. His former outside counsel Evan Greebel faces ...
Date: December 20, 2015
He made misrepresentations so that customers would pay higher prices while those selling bonds would end up getting deflated prices, both of which benefitted RBS. Sometimes, he and co-conspirators would make misrepresentations to buyers by telling them that a fake ...
Date: November 30, 2015
The SEC says that Kenny and the Afshars were able to execute this scam through misrepresentations that made it seem as if just one of the brothers owned Fineline Trading Group, LLC while the other was supposedly the sole owner ...
Date: November 27, 2015
Its Merrill Lynch unit had tried to have the misrepresentations and fraud claims against it dismissed. Frenzy, however, contends that the head of his financial advisory team at the bank arranged for now ex-bank employee Eva Weinberg, to act as ...
Date: November 15, 2015
The investment management firm is accused of accepting F-Squared’s misrepresentations as fact while disregarding the red flags that raised doubts about these statements.
Date: November 9, 2015
The bank is claiming unsuitable investments , misrepresentations, omission, breach of fiduciary duty, failure to supervise, breach of implied contract, and common law fraud involving the claimants’ purchase of preferred term securities, trust preferred securities, and other collateralized debt obligations.
