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Search Results: misrepresentations
Results 160-170 of about 329
Date: April 23, 2015
Among his purported wrongdoings are presenting his firm as SEC- and Financial Industry Regulatory Authority-registered, when it is neither, touting himself as holding all securities licenses, which he does not, and creating a bogus sense of success and legitimacy via ...
Date: March 10, 2015
Prosecutors say that Katke and co-conspirators made misrepresentations to get customers to pay prices that were inflated and sellers to say yes to deflated bond prices. The scam took place from around 2008 to June 2014.
Date: March 7, 2015
Bloom and NHM were accused of hiding their misappropriation, making misrepresentations and material omissions to pool participants, and issuing false statements about North Hills. A permanent injunction, as well as permanent trading, registration, and solicitation bans were imposed. Continue Reading ...
Date: December 8, 2014
He also made other misrepresentations, including claiming that over the last decade there had been no problems getting payments to investors. Continue Reading ›
Date: November 26, 2014
Scipione purportedly pushed the company’s trading platform while making bogus misrepresentations to investors about high trading leverage, fees, commissions, and their assets’ safety. The regulator says that Scipione and Ionno raised over $500,000.
Date: October 29, 2014
According to multiple reports, the investors seeking almost $1 billion in losses are alleging unsuitability, fraud, and misrepresentation. The third quarter has been a rough one for the Swiss banking giant. Reuters reports that the entity has put aside $1.9 ...
Date: August 22, 2014
Bank of America acknowledges that it originated mortgage loans that were high-risk and made misrepresentations about the loans to the Federal Housing Administration, Freddie Mac, and Fannie Mae. Merrill Lynch and Countrywide made a lot of the loans at issue ...
Date: August 5, 2014
The regulator accused them of omissions and misrepresentations of material information about the investments, their risks, the return rates, and how the money would be used by AIC, which is a financial services holding company, and Community Bankers Securities, its ...
Date: August 4, 2014
According to the SEC, Tucker took part in unauthorized trading, made misrepresentations to customers about the status of their funds, and forged documents and checks. She allegedly gained customers’ trust by becoming friends with them. For example, she helped one ...
Date: July 13, 2014
In it are details about how the bank ignored its own warning signs that certain mortgages were subpar and made misrepresentations about the loans that were securitized.
