Tag: mark ups

George Canellos and David Burger were appointed, respectively, the Acting Director and Acting Deputy Director of the SEC’s Division of Enforcement this week. The Division brought two insider trading cases this week as well as a case alleging fraudulent mark-ups …

This Week In Securities Litigation (Week ending February 1, 2013) Read More »

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Two Brazilian public pension funds and a Colombian institutional investor paid about $36 million in excessive mark ups in the latest fraudulent scheme uncovered by the SEC. Fabrizio Neves and Jose Luna, both registered representatives at now defunct Florida broker …

Two Brokers Charged With Defrauding Institutional Investors Read More »

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