2015 – SEC ACTIONS

SEC Inspection Staff Uncovers A Possible Fraud

Posted on January 11, 2015 by T. Gorman Posted in SECActions

The SEC claims that an individual that controlled several entities including an investment fund created phony consumer loans to funnel investor cash to his faltering financial operations rather than investing the money in actual loans in accord with the representations …

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Tagged with: fraud, investment adviser, secactions

This Week In Securities Litigation (The week ending January 9 , 2015)

Posted on January 08, 2015 by T. Gorman Posted in SECActions

FCPA enforcement was the focus this first week of the new year. The DOJ brought FCPA and Travel Act charges against an individual alleged to have repeatedly bribed an official of the European Bank of Reconstruction and Development to secure …

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Tagged with: bar order, FCPA, secactions

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Year: 2015

SEC Inspection Staff Uncovers A Possible Fraud

This Week In Securities Litigation (The week ending January 9 , 2015)