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Search Results: misrepresentations
Results 230-240 of about 327
Date: March 16, 2012
Both of the firms and Mazzola are accused of misleading an investor into thinking they had acquired Zynga stock, as well as of making misrepresentations about Twitter revenue. This case is still open.
Date: February 27, 2012
Investment Adviser Roundup: Two Firms Pay Over $47M For Alleged Failure to Properly Disclose Allegations, District Court Allows Claims Involving Excessive Mutual Fund Fees, and Conn. Firm to Settle CDO Misrepresentation Allegations for $1.62M
Date: January 6, 2012
At the civil securities fraud trial against him, Popper claimed that he never purposely made misrepresentations to anyone. Popper was known for his extravagant lifestyle, including a $2.4 million condo and a Sun Life Stadium sky box.
Date: January 6, 2012
Blog Posts: FBI Arrests Texas Leader of Pump-and-Dump Scheme , Stockbroker Fraud, March 23, 2011 Lancer Management Group LLC Hedge Fund Manager Acquitted of Charges He Ran Market Manipulation Scam, Institutional Investor Securities Blog, May 5, 2011 Barclays Capital Ordered ...
Date: December 22, 2011
FINRA says that Barclays Capital Inc. will pay $3 million over charges of inadequate supervision related to the residential subprime mortgage securitizations and the misrepresentation of delinquency data. The SRO claims that between 3/07 and 10/10, Barclays misrepresented three RMBS’s ...
Date: November 10, 2011
These misrepresentations allowed him to raise about $500,000 of investor monies, which he then used to cover personal expenses or pay principal and interest payments to earlier investors in this Ponzi-like scam .
Date: October 29, 2011
The court found that the plaintiffs had not sustained economic losses because of the alleged misrepresentations made by the company. Judge Miriam Goldman Cedarbaum said that this was enough grounds for dismissal. This is the first shareholder lawsuit dismissed against ...
Date: October 19, 2011
The municipalities later filed their securities case accusing Lehman of making misrepresentation and omissions in their offering documents, which is what the governments used as reference when making the decision to invest in the financial firm.
Date: September 28, 2011
Per the SEC, between 4/08 and 8/10, Liskov made misrepresentations to clients to persuade them to move funds they’d placed in securities investments into forex trading.
Date: September 12, 2011
According to the SEC, he engaged in material misrepresentations, the fraudulent and unregistered offering and selling of securities, and the misappropriation of investor funds. Per the commission, Dunn told investors he would place their money with Imperia Invest IBC, which ...
