by admin | Sep 22, 2016 | Securities Fraud
Richard Collins ordered to pay $250,000, sentenced to prison By Elizabeth Depompei of newsandtribune.com A Charlestown man was ordered to pay $250,000 in restitution after pleading guilty in a securities fraud case Monday. Richard Collins was president of R.C. Vision...
by admin | Sep 14, 2016 | Securities Fraud
Earlier this month, Indiana announced its first whistleblower award, giving $95,000 to a former JP Morgan official who helped the state’s regulators make an advice-related case against the firm that resulted in a $950,000 settlement. The informant showed how the...
by admin | Aug 30, 2016 | Securities Fraud
Software makers and speculators help to keep $47 million a year flowing through a world of fraudulent investment schemes. By Eduardo Thomson and Janan Hanna of Bloomberg.com It’s the financial equivalent of a game of chicken: Put money into a likely Ponzi scheme, get...
by admin | Aug 26, 2016 | Securities Fraud
By Bloomberg News A Missouri grain dealer who stole tens of millions of dollars from farmers may turn out to be their best ally as they try to recoup losses from corn giant Archer-Daniels-Midland Co. ADM began trial Tuesday in St. Louis with farmers claiming the woman...
by admin | Aug 21, 2016 | Latest News
The firm allegedly failed to provide about 2,700 customers waivers tied to upfront sale charges InvestmentNews.com By Christine Idzelis A unit of UBS Group AG will pay a $250,000 fine to settle charges that it failed to waive certain fees for eligible mutual-fund...
