Search ResultsShowing 1 - 10 of 100+ results for "SEC"
Investment Leadership Awards finalists revealed
JAMIE WILLIAMSON  |  WEDNESDAY, 22 JAN 2020
... INTERNATIONAL LISTED PROPERTY Dimensional Global Real Estate Trust (unhedged Class Units) Macquarie true Index Glob Real Estate Sec Quay Global Real Estate Fund Resolution Capital Global Property Securities Fund (unhedged) - Series II Vanguard International ...
Millions up in smoke in cannabis scam
ELIZABETH MCARTHUR  |  WEDNESDAY, 22 JAN 2020
... Russell for an alleged scheme that defrauded investors who thought they were buying interests in a marijuana company. The SEC estimates the amount invested in the fictitious company amounts to approximately US $4.85 million. Griffithe is accused of selling ...
Fraudster dyed hair, grew beard to evade regulator
ELIZABETH MCARTHUR  |  MONDAY, 20 JAN 2020
... admitted to certain investors that he had to hide his identity because if people found out the company would be "destroyed", the SEC complaint says. The SEC alleges Manor claimed to have 20 hedge funds testing technology to record transactions on a distributed ...
Goldman Sachs $1b corruption bill
ELIZA BAVIN  |  THURSDAY, 16 JAN 2020
... engaging in the corruption scheme through which he obtained over $62 million in bribes. The Securities and Exchange Commission (SEC) alleged that bribes to Malaysian officials enabled Goldman Sachs to obtain lucrative business, including underwriting ...
The Income Store closed for business
ELIZABETH MCARTHUR  |  WEDNESDAY, 15 JAN 2020
... for the investor. The company falsely promised it would use the fees for expenses related to the website. In reality, the SEC alleges new investor funds were used to pay returns for older investors - in a Ponzi-like fashion. Courtright allegedly also ...
Six charged in micro pump and dump scheme
ELIZABETH MCARTHUR  |  MONDAY, 6 JAN 2020
... alleged to have fraudulently transferred, and hid the source of, funds used to promote several of the microcap stocks. An SEC complaint alleges that Ciapala and Blacklight facilitated the sale in millions of unregistered shares of EMS Find Inc so that ...
Radio host adviser revealed as alleged fraudster
ELIZABETH MCARTHUR  |  FRIDAY, 20 DEC 2019
... owned (Springer Financial Advisors) paid to broadcast Smart Money with Keith Springer. Springer had prior charges from the SEC, with the regulator pursuing him for misrepresenting the performance of a hedge fund managed by his company Springer Investment ...
Former Goldman Sachs exec charged over $62m bribery
ELIZABETH MCARTHUR  |  TUESDAY, 17 DEC 2019
... Kimora Lee Simmons, has agreed to a settlement that sees him permanently barred from the securities industry. According to the SEC, in 2012 Leissner started bribing high ranking officials in Malaysia and Abu Dhabi, using a third party intermediary to ...
Tropical theme Ponzi scheme busted
ELIZA BAVIN  |  FRIDAY, 22 NOV 2019
... victim of a tropical themed Ponzi scheme that is now under investigation by the US Securities and Exchange Commission. The SEC announced that it has filed an emergency action and obtained a temporary restraining order and asset freeze against two people ...
RMBS scrutiny could be loosened in US
ELIZABETH MCARTHUR  |  WEDNESDAY, 13 NOV 2019
The US Securities and Exchange Commission (SEC) has issued a call for input from investors and market participants on the asset-level disclosure requirements for residential mortgage-backed securities (RMBS). SEC chairman Jay Clayton explained that ...
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