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Search Results: misrepresentations
Results 80-90 of about 322
Date: September 28, 2018
Securities News: Citigroup to Pay $12M Over Alleged Dark Pool Misrepresentations, SEC Issues Nearly $4M Whistleblower Award, Ex-Bankrate CEO Who Pleaded Guilty to Fraud Gets 10 Years in Prison
Date: September 12, 2018
Hedge Fund Fraud Cases: Adviser is Accused of Short-and-Distort Scam and Digital Asset Manager Faces Misrepresentation Allegations
Date: August 14, 2018
He allegedly made material misrepresentations and omissions to investment advisory clients and certain customers while he was a Merrill Lynch financial adviser in order to get get paid excess fees and commissions.
Date: May 22, 2018
They also are accused of making misrepresentations and omissions.
Date: May 17, 2018
CNN reports that since the economic crisis, RBS has paid about $28.4B in fines and settlements, including $500M to the state of New York earlier this year to settle allegations of misrepresentations made and deceptive practices used on investors of ...
Date: March 22, 2018
Franco, a Puerto Rico resident who was also the trustee of his law firm’s pension plan, accused the brokerage firm of negligence, misrepresentation, breach of fiduciary duty, breach of contract, unauthorized trading, unsuitability, overconcentration, failure to supervise, unauthorized use of ...
Date: March 9, 2018
In yet another mortgaged securities-related resettlement, Royal Bank of Scotland (RBS) has agreed to pay $500M to settle New York Attorney General Eric Schneiderman’s case accusing the bank of misrepresentations and deceptive practices related to it sale residential mortgage-backed securities ...
Date: February 13, 2018
To resolve the CMBS fraud charges, Deutsche Bank will pay customers back all profits on the securities’ trades in which a misrepresentation was made.
Date: January 22, 2018
The regulator is alleging fraud , misappropriation, misrepresentation , and other unregistered securities allegations.
Date: January 19, 2018
They are alleging inadequate supervision , misrepresentation and omissions, unsuitability , fraud, and other violations.
