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Search Results: misrepresentations
Results 90-100 of about 327
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. That figure is over $3.7M, including $1.48M of disgorgement. The bank will also pay a $750K ...
Date: January 22, 2018
The regulator is alleging fraud , misappropriation, misrepresentation , and other unregistered securities allegations. It wants disgorgement, fines, restitution, injunctions, and other remedies. In the case against CabbageTech, doing business as Coin Drop Markets, and its owner Patrick K.
Date: January 19, 2018
They are alleging inadequate supervision , misrepresentation and omissions, unsuitability , fraud, and other violations. Diaz is considered to be a rogue broker by the regulator, who barred him in 2015. He not only worked at 11 firms win 14 ...
Date: January 17, 2018
Barclays is accused of making misrepresentations to Hewlett-Packard so as to benefit the bank. Continue Reading ›
Date: January 11, 2018
Documents contend that Davis made misrepresentations to more than six dozen investors, costing them about $12.8M as a result. Among his victims were people he knew from church, as well as professional athletes. Of the money that Davis solicited, he ...
Date: December 29, 2017
The settlement resolves claims alleging that the bank made misrepresentations when selling MBSs to the pension funds, which contend that they sustained millions of dollars in losses as a result.
Date: December 26, 2017
“Material misrepresentations and misleading statements” were allegedly made to them about: how investor proceeds would be used, executive compensation, operating costs, and related party transactions.
Date: November 13, 2017
The SEC contends that from 9/2013 through last year, Kelter, who owns insurance and investment firm BEK Consulting Partners LLC (known in the past as Kelter & Company LLC), made misrepresentations to the older investors, whom he’d persuaded in 2013 ...
