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Archived Latest Securities News Articles Page: 10
Zealous Legal Advocacy or Criminal Conspiracy?
January 29, 2012 @ 3:08 pm
   

by Brian Mahany

A recent Reuters article sheds light on how Sir Allen Stanford was able to avoid detection and arrest for well over a decade. When finally arrested in 2009, Stanford was believed to have presided over one of the largest Ponzi schemes ever - $7 billion in misappropriated funds. Unlike the Madoff case where much of the money will be recovered and distributed to victims, Stanford’s victims are likely to see very little. Now, published reports say lawyers and law enforcement officers may have helped him hide his criminal empire.

According to the Reu...
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RRBDlaw.com : Closing the calendar on FINRA's 2011 Cases of Note
January 29, 2012 @ 7:15 am
   Updated FINRA Cases of Note Now Online With Bill Singer's AnalysisFINRA cites a growing number of Annual Compliance Certification violations in 2011, and December saw an unusually large sample.2011 saw numerous Promissory Note cases -- both those involving loans to stockbroker from their firms, and those involving the sale of such instruments by stockbrokers to their clients.If you don't have sufficient funds to cover that check you wrote, it's going to come bouncing back as "NSF". Bet you didn't realize that this could become a FINRA regualtory matter. If you were involved in selling ......
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Different takes on risk assessment
January 29, 2012 @ 4:01 am
   When I boarded the Costa Concordia for a Mediterranean cruise in October 2009, I never considered the possibility of being on a sinking ship — much the way many investors never considered that a bear market could decimate their retirement nest egg....
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Role reversal? Pimco dons equities, Janus tries on bonds
January 29, 2012 @ 4:01 am
   Two prominent mutual fund companies are hard at work moving beyond the specialties that made them well-known in the first place....
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If Obama is re-elected to a second term
January 29, 2012 @ 4:01 am
   As the Republican presidential campaign shifts into high gear, candidates have sought to claim the mantle of being the strongest opponent to face President Barack Obama in November....
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UN and NLRB Employee Faces 20 Years In Federal Prison For Holding Both Jobs
January 28, 2012 @ 9:20 am
   This is an UPDATE of a “Street Sweeper” column that originally ran October 24, 2011.Jeffery K. Armstrong, 51, of South Riding, VA was a Supervisory Security Specialist with the Department of the Army. For whatever reasons, in March 2008,  Armstrong took a leave of absence....


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Conspirator In Conn. Ponzi Scheme Gets 14 Months
January 27, 2012 @ 3:34 pm
   A federal judge on Friday sentenced a Venezuelan man to 14 months in prison after he admitted to hindering a U.S. Securities and Exchange Commission investigation of a Ponzi scheme by Connecticut hedge fund adviser Francisco Illarramendi....
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Dutch Pension Fund Targets Goldman Over 'Toxic' RMBS
January 27, 2012 @ 3:29 pm
   The Netherlands' government employee pension fund on Friday sued Goldman Sachs Group Inc. alleging the bank misled investors into buying toxic residential mortgage-backed securities....
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SEC Deputy Inspector General to Serve as Agency’s Interim Inspector General
January 27, 2012 @ 3:25 pm
   

FOR IMMEDIATE RELEASE
2012-20

Washington, D.C., Jan. 27, 2012 — The Securities and Exchange Commission announced today that Noelle Maloney will serve as interim Inspector General for the agency following the departure of Inspector General H. David Kotz to join a private investigative services firm. Mr. Kotz’s last day at the Commission was Friday, Jan. 27.

Ms. Maloney will head the SEC’s Office of Inspector General (OIG) while the Commission searches for a permanent head. The 2010 Dodd-Frank Act requires the Inspector General to report t...
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SEC Can Pursue Late Billionaire Wyly's Heirs For $50M
January 27, 2012 @ 3:05 pm
   A New York federal judge on Friday allowed the U.S. Securities and Exchange Commission to pursue the family of late billionaire Charles Wyly to recover approximately $50 million in alleged fraudulent earnings, saying they should not benefit from his insider trading....
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Husch Blackwell Accused Of Bungling Oil Co. Stock Offering
January 27, 2012 @ 2:37 pm
   Nevada-based onshore oil company EnerJex Resources Inc. hit Husch Blackwell LLP with a legal malpractice suit in Missouri state court Monday, saying the firm bungled the company's 2008 stock offering and caused EnerJex to suffer $50 million in losses....
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New Residential Mortgage-Backed Securities Working Group Hopes to Restore America's Trust in Financial Sector
January 27, 2012 @ 2:17 pm
   Here is more information on the joint state-federal mortgage abuse investigation unit announced by President Obama in the State of the Union address, from New York AG's website: The new Residential Mortgage-Backed Securities Working Group ...brings together the Department of......
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In-House Accounts May Stop Insider Trading, 9th Circ. Hears
January 27, 2012 @ 2:11 pm
   A financial industry group urged the Ninth Circuit on Thursday to uphold a ruling for Morgan Stanley Smith Barney LLC letting brokerage firms require employees to keep personal trading accounts in-house, saying the policy is needed to help detect violations like insider trading....
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Travelzoo Sold Assets To Founder At Discount: Suit
January 27, 2012 @ 2:04 pm
   A Travelzoo Inc. shareholder filed a derivative suit Friday accusing the company's executives of shortchanging shareholders by selling Travelzoo's Asia Pacific assets to the company's founder, Ralph Bartel, at a discount....
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Ex-McKesson Chair Asks High Court To Toss Guilty Verdict
January 27, 2012 @ 1:58 pm
   Convicted securities fraudster Charles McCall, the former chairman of health care company McKesson Corp., this month asked the U.S. Supreme Court to overturn his 2009 jury verdict, claiming a lower court judge improperly instructed the jury to consider whether McCall "recklessly disregarded" warnings about accounting improprieties at the company....
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