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| Page loaded as of 5/24/2013 11:21:45 PM |
...in the News
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Advisers learn hard lessons from Oklahoma twisterWhile those in the Oklahoma City area focus on cleaning up the devastation left by Monday's powerful tornado, the incident reminds advisers [and the rest of us, too! - Ed.] that life-changing events happen quickly and they need to be prepared.
- Investment News - 5/24/2013
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SEC charges Texas trader with front runningWASHINGTON, D.C. -- The SEC accused Daniel Bergin, a senior equity trader at Cushing MLP Asset Management in Dallas, of placing his own trades before executing large block trades for firm clients.
- Newsroom America - 5/24/2013
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North Carolina man pleads guilty to securities fraudCHARLOTTE -- The U.S. Attorney's Office says Stephen Maiden conducted an $8.9 million Ponzi scheme through his hedge fund Maiden Capital Opportunity Fund.
- WRA.com - 5/24/2013
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Ex-LPL adviser charged with stealing $2M from clientsGEORGIA -- Blake Richards, an adviser formerly affiliated with LPL Financial LLC, was charged by the SEC with defrauding investors and misappropriating $2 million from at least six clients.
- Investment News - 5/24/2013
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North Dakota broker to plead guilty to fraudFARGO — Robert Medhus, a former West Fargo securities broker charged with bilking investors out of more than $900,000 in a Ponzi-type scheme, has agreed to plead guilty.to securities fraud.
- Jamestown Sun - 5/24/2013
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Agreement opens some Chinese audit papersCHINA -- The memorandum of understanding was signed by the China Securities Regulatory Commission and the Ministry of Finance for China, and by the Public Company Accounting Oversight Board for the U.S.
- NYTimes - 5/24/2013
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Former Enron CEO Jeffrey Skiling gets prison sentence reductionThe government agreed to reduce Skilling's 24-year sentence to 14 years in exchange for his agreeing to abandon further appeals of his conviction. Doing so would allow the government to disperse $40M in Skilling's assets that had been frozen.
- EINnews.com - 5/23/2013
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Owners of Lisle-based firm accused of fraud in 'cherry picking' schemeILLINOIS -- The SEC alleges Charles J. Dushek of Warrenville, his son Charles S. Dushek of Wheaton and their firm, Capital Management Associates Inc., committed securities fraud and other violations that provided them $2M in illicit profits.
- DailyHerald.com - 5/23/2013
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Lawyers: West Roxbury man in Ponzi scheme violated judge's ordersGovernment lawyers argued in U.S. District Court in Boston that Steven Palladino, the West Roxbury resident accused of orchestrating a Ponzi scheme, is violating a judge’s order to return or account for money and assets ...
- WickedLocal.com - 5/23/2013
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Five IBDs in $9.6M settlement over nontraded-REIT salesSales of nontraded real estate investment trusts have again come under the scrutiny of securities regulators as William Galvin, the secretary of the Commonwealth of Massachusetts, announced settlements with five leading independent broker-dealers.
- Investment News - 5/23/2013
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Chandelier Owned By Stanford Up For AuctionDALLAS -- A chandelier by glass artist Dale Chihuly that once belonged to former Texas tycoon R. Allen Stanford is to be sold at auction to raise money to help compensate victims of his Ponzi scheme.
- CBSLocal.com - 5/22/2013
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Colorado grand jury indicts Quantum Title for alleged Ponzi schemeA statewide grand jury has indicted Quantum Title after investors found about $3 million missing from the company’s escrow account, the office of Colorado Attorney General John Suthers announced Tuesday.
- Bizjournals.com - 5/22/2013
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Zeek Rewards claims Q and ANORTH CAROLINA -- Last week a federal court began accepting claims from victims seeking restitution in the Zeek Rewards pyramid scheme. Here are some questions and corresponding answers from the official case website.
- hpe.com - 5/21/2013
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