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Search Results: unauthorized trading

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Citigroup Global Markets Sales Assistant Accused of Stealing from Clients ...

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 ...

SEC Charges Former AG Edwards and Bank of America Broker ...

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 ...

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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