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Search Results: misrepresentations
Results 110-120 of about 327
Date: May 11, 2017
DiNucci, who pleaded guilty to fraud and conspiracy and making misrepresentations,previously worked at Nomura. He also worked at Auriga USA LLC and AOC Securities LLC. Because certain securities are hard to price, hedge funds depend on brokers and third parties ...
Date: May 6, 2017
The office of Massachusetts Secretary of the Commonwealth William Galvin has fined LPL Financial (LPLA) $1M because the firm’s financial advisers allegedly made misrepresentations to consumers.
Date: March 20, 2017
The indictment said that between 1/2005 and 11/2012, Tsang, Wong, and a co-conspirator ran this securities scam and made material misrepresentations and omissions about the investments.
Date: March 13, 2017
In his securities fraud claim, Pryor alleged negligent misrepresentation , negligent supervision , breach of fiduciary , and other causes. Wells Fargo denies Pryor’s allegations. His advisor, Jeff Wilson, who was not named as a party in the securities arbitration ...
Date: December 19, 2016
The firms and Nordlicht are accused of inflating asset values, illicitly moving investor funds to conceal liquidity issues and losses, giving redemptions to the investors whom they favored, overstating the value of one oil company that was a huge asset, ...
Date: December 17, 2016
They alleged that Mid Atlantic Capital Corp. was liable for negligent misrepresentation, negligence, omissions, breach of fiduciary duty, breach of contract, negligent supervision, restitution, common law fraud, and violation of Colorado’s Securities Act.
Date: November 4, 2016
Texas Man and His Energy Company Must Pay Arizona Restitution, Penalties for Oil Well-Related Misrepresentations Texas resident Kenneth White and his Marchant International Resources Inc. must pay almost $1.4M plus $150K in penalties for misrepresenting its participation in two oil ...
Date: October 31, 2016
According to the CFTC’s order, the defendants committed fraud, did not register with the SEC, engaged in misappropriation, and made misrepresentations to the National Futures Association. Continue Reading ›
Date: September 30, 2016
Attorney Preet Bharara, Block is accused of knowingly misleading the public and doing so through material misrepresentations about a key metric for evaluating the real estate investment trust’s 2014 financial performance. The government claims that Block overstated, by approximately $13M, ...
Date: September 24, 2016
The points included alleged misrepresentations, including that investor money would go toward development and research but not toward commissions. Sizer also purportedly solicited investors by phone using the same misrepresentations and omissions to sell company shares.
