Tag: Ponzi schemes

November 5, 2012 proved to be a significant day for financial regulators. In the U.S. FINRA announced the filing of a cease-and-desist order against WR Rice Financial Services and its owner, Joel Wilson for allegedly fleecing investors. In the U.K. …

Two Regulators, Two Stockbrokers and Two Fraudulent Schemes Read More »

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The SEC is on pace to settle a record number of enforcement actions, according to a new report released by NERA Economic Consulting (here). This trend is being driven by a marked rise in the number of actions against individuals, …

Trends In SEC Enforcement Actions: Focus On Individuals, Insider Trading Read More »

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