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Search Results: misrepresentations
Results 120-130 of about 327
Date: September 24, 2016
According to the regulator, DT Securities and Newton engaged in negligent misrepresentations involving private placements. Markel is also barred for alleged violations involving two of the firm’s offerings to purchase real estate in Georgia and Florida, as well as a ...
Date: September 22, 2016
Avenir is accused of making misrepresentations when selling debt and equity interests in the holding company of its branch office. The FINRA ruling said that in 2013, Avenir solicited investors through funds via an equity self-offering because the firm needed ...
Date: September 10, 2016
The SEC claims that Banks made material misrepresentations and omissions of key facts to the basketball player to persuade him to invest in Gameday. Among the alleged misrepresentations: Continue Reading ›
Date: August 23, 2016
Investors, alleging fraud, unsuitability, and misrepresentation, have since recovered $432M, including what was recovered and given out by a court appointed receiver, $101M from brokerage firms, and $180M from banks or bond indenture trustees. Investors who got money back were ...
Date: August 16, 2016
As a result, of the purported omissions and misrepresentations, issuers paid over $100M in early redemptions. Lathen is accused of violating the custody rule by not properly putting the securities and money from the hedge fund in an account under ...
Date: August 8, 2016
He said that the court bypassed evidence at trial that showed how the defendants made fraudulent misrepresentations when selling the loans and while the contracts were being executed. Prosecutors are arguing that the language in the contract refers to each ...
Date: July 30, 2016
The regulator said that contrary to the misrepresentations, Hysni and Atlantas invested clients’ funds in an out-of-the-money option spread that caused customers to suffer financial losses. Also, Atlantas is accused of collecting about 90% of clients’ losses in commissions while ...
Date: July 26, 2016
It also found that registered investment company custody clients were given monthly transaction reports and trade confirmations that were materially misleading because of misrepresentations about foreign currency exchange transaction pricing. Continue Reading ›
Date: July 12, 2016
Now, FINRA has barred him for a number of causes, including giving false information to clients about variable annuity sales, the fraudulent misrepresentation and omission of key facts to customers about the sales, providing false information in VA-related documents, and ...
Date: July 6, 2016
Goldman, which argued that the fund’s losses were caused by the demise of the housing market and not because of any alleged misrepresentations, claimed that the Australian hedge fund filed its CDO fraud lawsuit to try to get the bank ...
