Investor Lawyers Blog

Search Results: unauthorized trading

Results 90-92 of about 92

Connecticut Brokerage Aide Must Pay $58,825 To Settle Charges He ...

Date: June 27, 2008

District Court for the Southern District of New York has ordered a Connecticut man to pay $58,825 in civil penalties, prejudgment interest, and disgorgement to settle charges he engaged in a scheme to take part in unauthorized securities trades , ...

Oppenheimer Fined $1 Million for Abuse of Widow – Later ...

Date: July 10, 2007

Oppenheimer was charged with failing to supervise a broker as he allegedly engaged in acts including theft, fraud, churning and unauthorized trading in the account of an elderly couple. The firm consented to the order without admitting or denying the ...

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