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Financial crimes articles over last 30 days

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2012/05/26 13:43

2012/05/26 13:43

13h

SEBI toughens stance on serious cases

The Securities and Exchange Board of India (SEBI) said it would not settle serious cases, such as insider trading and unfair trade practices, through the use of consent orders - a mechanism that...

Read more at Business Standard India, Decclan Chronicle, The Hindu, The Telegraph, + 2 more articles

2012/05/26 13:43

2012/05/26 13:43

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2012/05/26 13:43

2012/05/26 13:43

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2012/05/25 14:48

2012/05/25 14:48

1d

ASC settles with man over allegations of illegal ...

An Alberta investor has settled with securities regulators over allegations that he illegally traded on insider information provided by his investment advisor. The Alberta Securities Commission...

Read more at Investment Executive

Jeffrey Scott Bratvold Alberta Securities Commission Richard Kowalchuk John Holtby Eveready Inc.

MENTIONED

2012/05/25 13:22

2012/05/25 13:22

1d

Insiders Trading CVI, FB, FURX, BLK

If you combine the technical picture with the European uncertainty there's good reason to remain cautious. Thinking of entering the energy sector? These drilling companies represent a great place to...

Read more at TheStreet.com, TheStreet.com, + 61 more articles

2012/05/24 22:50

2012/05/24 22:50

2d

Stephen H. Guth Settles SEC Insider Trading Charg...

Stephen H. Guth Settles SEC Insider Trading Charge Concerning Omrix Tender Offer The U.S. Securities and Exchange Commission today filed a settled civil injunctive action in the U.S. District Court...

Read more at citybizlist Washington DC, citybizlist Philadelphia

2012/05/24 12:48

2012/05/24 12:48

2d

BCSC issues lifetime ban against B.C. man for fra...

The British Columbia Securities Commission has permanently banned a man from the securities markets, and ordered over $2.1 million in monetary sanctions, for committing fraud and engaging in...

Read more at Investment Executive, Richmond Review

2012/05/23 21:01

2012/05/23 21:01

3d

Martha Stewart Returns as Chairwoman of Her Names...

In 2006, Ms. Stewart settled insider trading charges with the Securities and Exchange Commission related to her stock sale. As part of that agreement, she agreed to a five-year ban from serving as a...

Read more at Yahoo! Finance, The Buffalo News, The Scranton Times-Tribune, Courier-Post, + 34 more articles

2012/05/23 19:01

2012/05/23 19:01

3d

Martha Stewart Returns as Chairwoman of Her Names...

Martha Stewart is back at the helm in the boardroom. In 2006, Ms. Stewart settled insider trading charges with the Securities and Exchange Commission related to her stock sale. As part of that...

Read more at Yahoo! Finance

Martha Stewart Securities and Exchange Commission

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2012/05/23 04:01

2012/05/23 04:01

3d

SEC dealt blow in financial-crisis case

WASHINGTON (Reuters) - The U.S. Securities and Exchange Commission was dealt a setback in its cases tied to the financial collapse when a federal judge dismissed large parts of its case against former...

Read more at Yahoo! Finance, Yahoo! Finance, Reuters, Los Angeles Times

2012/05/22 22:00

2012/05/22 22:00

4d

2 charged with insider trading by SEC

A former Yahoo executive and an Indian-American hedge fund manager have pleaded guilty to insider trading charges that involved exchanging confidential information on a deal between Yahoo and...

Read more at The Hindu, New Kerala, Bloomberg, The Register, + 40 more articles

2012/05/22 09:48

2012/05/22 09:48

4d

Trial of ex-Goldman Sachs board member begins

NEW YORK — A federal prosecutor accused former Goldman Sachs board member Rajat Gupta, 63, on Monday of feeding inside investment tips to a corrupt hedge fund manager, while Gupta's lawyer told a jury...

Read more at The Mail Tribune, San Francisco Chronicle, News India-Times, Business Standard India, + 460 more articles

2012/05/21 17:11

2012/05/21 17:11

5d

Defrauding elders grows in ethnic communities

... “have been especially hard hit by predatory lenders.” Still, despite the alarming figures, Financial crimes against elders often go undetected. “It’s a silent crime,” said Helen Karr, a...

Read more at Louisiana Weekly

Lisa Nerenberg Sean Do California Elder Justice Coalition Helen Karr Edwin Parada

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2012/05/18 15:22

2012/05/18 15:22

8d

Insiders Trading HALO, ULTA, HES, NVR

... need a high price for it to work, but not uncomfortably so -- because that would be a deal hijacked by a frenzied public. I received some shares and I will definitely be inclined to do some...

Read more at TheStreet.com, TheStreet.com, + 1 more articles

2012/05/17 23:56

2012/05/17 23:56

9d

Insider trading breaches surge: ASIC

Financial markets might be volatile, but that is not stopping some investors from risking prison by insider trading. The Australian Securities and Investments Commission says there have been more...

Read more at Yahoo!7 News, Perth Now, Adelaide Now, Australian Broadcasting Corporation

2012/05/17 14:37

2012/05/17 14:37

9d

Arrested for acting like a boss

Police Department. He is also the suspect in other fraud cases being investigated by the EPD's Financial crimes Unit. Jones' method of operation would be to represent himself as a high level...

Read more at 14 WFIE Evansville

Sean Anthony Jones Evansville Police Department EPD's Financial Crimes Unit Evansville Police Department's Financial Crimes Unit

MENTIONED

2012/05/16 16:01

2012/05/16 16:01

10d

Securities regulators celebrate 10 years of cross...

At their annual conference in Beijing Wednesday, global securities regulators are touting the importance of cross-border enforcement co-operation. The International Organization of Securities...

Read more at Investment Executive, The Borneo Post, Tax-News.com

2012/05/14 23:36

2012/05/14 23:36

12d

SEC ends trading in shell companies — including s...

Federal stock regulators suspended trading in three Kansas City area companies’ stocks on Monday amid a crackdown on investment fraud. The companies? They are familiar but not recently...

Read more at The Kansas City Star

Securities and Exchange Commission Trans World Airlines Inc. Kansas City OTR Express Inc. American Airlines

MENTIONED

2012/05/11 23:50

2012/05/11 23:50

15d

SEC Charges Former Oil Company Executive With Ins...

SEC Charges Former Oil Company Executive With Insider Trading The Securities and Exchange Commission today announced charges against a former executive at a Bakersfield, Calif.-based oil and gas...

Read more at citybizlist Washington DC, citybizlist Houston

2012/05/11 11:23

2012/05/11 11:23

15d

Green Mountain Margin Call Latest Sign Market Is ...

Green Mountain Margin Call Latest Sign Market Is Stuck in 1929 Investors may want to push for regulators to ban the practice outright given the problems that have arisen at Green Mountain and...

Read more at TheStreet.com, Rutland Herald, Greater Baton Rouge Business Report, TheStreet.com, + 73 more articles

2012/05/10 13:22

2012/05/10 13:22

16d

Insiders Trading SIRI, SAVE, AIG

By Jonathan Moreland, founder of Insider Insights and author of Profit From Legal Insider Trading. Jonathan Moreland is the founder of InsiderInsights.com, which produces a weekly newsletter and...

Read more at TheStreet.com, TheStreet.com, + 1 more articles

2012/05/05 19:39

2012/05/05 19:39

21d

Shaw founder adds to holdings

Insider signals tend to pop up most often in small or medium size companies. However, Shaw Communications Inc. SJR.B-T is one large-cap name that has frequently hit our screens over the past few...

Read more at The Globe and Mail

Shaw Communications Inc. INK Research Ted Dixon

MENTIONED

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