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Search Results: unauthorized trading
Results 80-90 of about 92
Date: May 31, 2011
Freecharm accused Atlas of committing Florida statutory violations, breach of fiduciary, fraud, negligence, and other wrongdoings linked to the alleged excessive and/or unauthorized trading in a number of securities accounts.
Date: May 26, 2011
Howard Winell, Winell Associates Inc., and Maxie Partners GP LLC have agreed to pay over $5.2 million to settle Commodity Futures Trading Commission charges accusing them of taking part in unauthorized trading and misappropriating funds related to a commodity futures ...
Date: February 21, 2011
The SEC says that it sought emergency relief because it was afraid that Illarramendi was going to make additional, unauthorized investments. The largest private equity investment Illarramendi made was in an unnamed West Coast nuclear energy company. The SEC says ...
Date: December 28, 2010
District Court for the Southern District of New York, the ex-financial adviser and “wealth manager” entered a guilty plea to the charge of wire fraud involving unauthorized trading for commissions.
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: April 13, 2010
In 2008, LPL Financial and Michael McClellan, one of its ex-brokers, lost a $1.8 million arbitration claim accusing them of securities fraud, violation of securities laws, unauthorized tradings, breach of fiduciary duties, and other violations.
Date: November 2, 2009
The SEC says Urban ignored a number of warnings he received connecting Glantz to questionable activities and unauthorized trades. Urban also allegedly knew that numerous complaints had already been made against Glantz even before he came to work at Ferris.
Date: September 10, 2009
A few examples of broker misconduct include churning, misrepresentation, negligence, breach of fiduciary duty, and unauthorized trading. Related Web Resources: Read Shapiro’s Letter (PDF) Schapiro Message to B-D CEOs: Watch Your Recruiting Tactics, Research Mag, September 1, 2009 Chairman Mary ...
Date: September 4, 2009
Moon is also accused of recordkeeping violations, falsifying account records, forging signatures on letters asking for unauthorized address changes, and taking part in unauthorized trades while employed with Citigroup Global Markets. She is accused of using the funds to pay ...
Date: August 15, 2008
Examples of common claims involving broker misconduct: • Unsuitability • Misrepresentation • Overconcentration • Omissions • Churning • Failure to Supervise • Failure to Execute Trades • Breach of Fiduciary Conduct • Breach of Contract • Negligence • Breach of ...
