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Search Results: misrepresentations
Results 150-160 of about 327
Date: September 1, 2015
Lopez-Gonzales and their relatives filed an arbitration case with the Financial Industry Regulatory Authority (“FINRA”) claiming breach of fiduciary duty, fraud, breach of contract, negligence, unsuitability, misrepresentation and omission, overconcentration, and failure to supervise under FINRA rules and Puerto Rican ...
Date: August 17, 2015
According to an SEC probe, the Citigroup (C) affiliates made misleading and false misrepresentations to investors. The two hedge funds, managed by Citigroup Alternative Investments, were highly leveraged and sold only to advisory clients of Smith Barney and Citigroup Private ...
Date: July 14, 2015
LPL Financial Fined $250K by Massachusetts Over Misrepresentations Made to Senior Investors
Date: June 10, 2015
Buck, the money manager who was let go from Merrill Lynch (MER) earlier this year, is the subject of several investor complaints alleging misrepresentation, unauthorized trading, and other wrongdoing. The cases could impact his new position at RBC Wealth Management.
Date: June 4, 2015
He also allegedly inflated his past investment performance, pumped up a fund’s projected performance, and made misrepresentations about who would be advising and co-managing a fund. Thomas has consented to pay a $25,000 penalty. He agreed to not take part ...
Date: June 3, 2015
According to the SEC, Williamson raised over $2 million over the course of seven years-from ’07 to ’14-while making misrepresentations about the way investors’ money would be used, as well as regarding the investments’ valuations and returns.
Date: May 14, 2015
In her Puerto Rico bond fraud case, Bauza alleged misrepresentations, securities fraud, and other wrongdoing. In addition to the $200,000 award, the arbitrators denied the firm’s request to remove information about the case from the public records of David Lugo ...
Date: April 29, 2015
The wire fraud count accuses him of using misrepresentations, fraudulent promises and false pretenses, and concealing material facts to solicit money from investors. He also purportedly used his friendship with ex-Microsoft SCEO Steve Ballmer by falsely claiming that the billionaire ...
Date: April 23, 2015
Among his purported wrongdoings are presenting his firm as SEC- and Financial Industry Regulatory Authority-registered, when it is neither, touting himself as holding all securities licenses, which he does not, and creating a bogus sense of success and legitimacy via ...
Date: March 10, 2015
Prosecutors say that Katke and co-conspirators made misrepresentations to get customers to pay prices that were inflated and sellers to say yes to deflated bond prices. The scam took place from around 2008 to June 2014.
