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Search Results: misrepresentations
Results 270-280 of about 327
Date: January 4, 2011
The Motameds, who filed their claim against the UBS AG (UBS, UBSN.VX) unit and ex-UBS brokers Judith Sierko and Robert Ashley early in 2009, are alleging misrepresentation, breach of fiduciary duty, and other charges. This is the largest award involving ...
Date: December 29, 2010
Allstate is alleging negligent misrepresentation and securities violations. The insurance company purchased its securities between March 2005 and June 2007.
Date: December 13, 2010
The most common investor claims against brokers and investment advisers can involve issues such as: • Unsuitability • Registration violations • Margin account abuse • Unauthorized trading • Breach of fiduciary duty • Breach of contract • Failure to execute ...
Date: December 7, 2010
The Department of Justice says that Mackert, who was the attorney for a number of A & O entities, issued material misrepresentations, such as false statements, to investors about A&O Resource Management Ltd. and the related entities.
Date: November 29, 2010
Current and ex-Citigroup shareholders have said that as a result of the securities fraud, which involved the misrepresentation of the risks involved via exposure to collateralized debt obligations, they ended up paying an inflated stock price.
Date: November 10, 2010
Meantime, the US Securities and Exchange Commission has received complaints claiming that Citigroup engaged in misrepresentation and securities fraud related to the credit worthiness and liquidity of the securities. Related Web Resources: Stockbroker Fraud Blog Continue Reading ›
Date: November 9, 2010
In their challenge, the defendants argued that the notice did not satisfy Private Securities Litigation Reform Act requirements, including failing to completely and “adequately” notify proposed class members of all the claims asserted in the complaint, not providing enough details ...
Date: November 5, 2010
Related Web Resources: SEC Charges Connecticut-Based Hedge Fund Manager with Fraud in Valuing Portfolio Assets , Making Misrepresentations to Investors, and Misuse of Investor Assets, SEC.gov, October 25, 2010 Southridge Capital Management Founder Charged With Fraud Though He May Not ...
Date: October 18, 2010
Because of the misrepresentation, the Oregon Public Employee Retirement Fund lost approximately $10 million.
Date: October 15, 2010
Yet, says the SEC, for 2007 and 2008 the risk disclosures in private placement memoranda for the hedge funds from Agile contradicted the “false and misleading” misrepresentations made by Greenberg.
