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Search Results: ponzi scam
Results 340-350 of about 445
Date: April 4, 2012
Per the FINRA arbitration panel, senior management at Merrill purposely engaged in a scam that was “systematic and systemic” to prevent its former brokers, Tamara Smolchek and Meri Ramazio, from getting numerous benefits, including the ones that they were entitled ...
Date: March 28, 2012
Allen Stanford’s Ponzi scheme . The case is Roland v. Green . The appeals court said that the state court securities lawsuits , which are claiming common law and statutory violations, could go forward because the alleged fraud is only ...
Date: March 26, 2012
FINRA BrokerCheck® More Blog Posts: Securities Claims Accusing Merrill Lynch of Concealing Its Auction-Rate Securities Practices Are Dismissed by Appeals Court , Stockbroker Fraud Blog, November 30, 2011 Merrill Lynch Faces $1M FINRA Fine Over Texas Ponzi Scam by Former ...
Date: March 17, 2012
Allen Stanford’s $7 billion Ponzi scam with any compensation, contending that the Stanford bank involved in the scam was Stanford International Bank Ltd. in Antigua and not SIPC member Stanford Group. Stanford has been convicted on 13 criminal counts related ...
Date: March 15, 2012
AXA Advisors LLC will pay a $100,000 fine to settle Financial Industry Regulatory Authority allegations that it delayed too long before firing a broker who was also the mastermind of a Ponzi scam .
Date: March 7, 2012
Nearly three years after he was indicted for defrauding investors in a $7.2 billion Ponzi scam involving certificates of deposit that are now worthless, a Houston jury has convicted R.
Date: March 5, 2012
Allen Stanford’s $7 Billion Ponzi scam. The brokerage industry-funded nonprofit claims that the Commission has not demonstrated that these investors are eligible to receive this type of coverage from SIPC. Standing by SIPC is the National Association of Independent Broker/Dealers.
Date: February 9, 2012
District Court Judge Robert Wilkins says that the Securities and Exchange Commission doesn’t need to go through a full civil trial in order to make the Securities Investor Protection Corp. start liquidation proceedings to compensate the victims of Allen Stanford’s ...
Date: February 9, 2012
Companies that they involved in their Texas securities scam included Sterling Software Inc., Scottish Annuity & Life Holdings Ltd., Michaels Stores Inc., and Sterling Commerce Inc. They allegedly made an unlawful gain of over $31.7 million after committing an insider ...
Date: February 6, 2012
The US Securities and Exchange Commission is asking District Judge Robert Wilkins to make the federal Securities Investor Protection Corp. set up a claims process for the Ponzi fraud victims of R. Allen Stanford. These investors had purchased $7.2B in ...
