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July 2 , 2015-Tampa, FL The FBI announced that Juliet Ellis, 45, pleaded guilty to one count of wire fraud in connection with the embezzlement of funds from Palma Ceia United Methodist Church, where she worked as a financial secretary and business manager. She faces up to 20 years in federal prison.
Eric Holder served as Attorney General of the United States from 2009 until earlier this year. Depending on whom you ask, his leadership of the Justice Department has been either great or terrible. Sticking to the facts, he is the first African American to serve as Attorney General. He also previously served as a U.S. Attorney and Superior Court judge. While U.S.
June 18, 2015 Dougherty & Company, a broker dealer and investment adviser with its principal office located in Minneapolis, Minnesota, consented to the entry of an Order Instituting Administrative and Cease and Desist Proceedings with the Securities and Exchange Commission to resolve allegations that they conducted inadequate due diligence in connection with the underwriting of certain mu.
Accountants have access to a wealth of their client’s personal and private information. From Social Security numbers to bank statements and tax records, it is sometimes too tempting for an accountant to engage in unethical conduct and expose themselves to professional liability. If your accountant misused your personal information, embezzled funds or subjected you to legal liab ...
July 1, 2015-Langehorn, PA/ Boynton Beach, FL The Securities and Exchange Commission (SEC) filed a civil action against Malcolm Segal, 69, of Langhorne, Pennsylvania and Boynton Beach, FL, alleging that between 2009 and 2014, he raised $15.5 million in proceeds through the fraudulent sale of CDs, approximately $8.1 million of with involved entirely non-existent CDs.
June 23, 2015- New York A FINRA arbitration panel ordered BNP Paribas Securities Corp. to pay a former customer over $16 million dollars for the sale and marketing of an unsuitable investment in a Resetable Strike Option Transaction. The arbitration was nearly record setting in that it took 186 sessions over 95 days of hearing. Ontonimo Ltd. vs. BNP Paribas Securities Corp.
June 25, 2015 According to the Colorado Division of Securities , Adam Edward Hirschfeld, 32, of Centennial, Colorado has been indicted for securities fraud in connection with raising money at least $1.5 million from 35 investors, purportedly to be invested in oil and gas wells in Ohio. Hirschfeld’s companies include Ohio Energy Group, AAG Capital, Western Natural Resources ...
If you are injured in a Missouri car accident caused by another driver, you have the legal right to ask for compensation from the at-fault party. Filing a car accident claim can be done with the help of a Missouri car accident attorney. You will need to provide proof of your injury and other damages and proof that you were not the cause of the accident.
Summer holidays can present a wonderful escape from the typical hustle and bustle of life. Whether driving to the beach or attending a barbeque, spending a few hours out on a Saturday never seems quite as inviting as it does on a sunny summer day. The summer season often brings with it longer daylight hours and better road conditions for traveling during the holidays.
Michael Tepedino—Failure to Cooperate with FINRA Investigation, Failure to Disclose Outside Business Activity July 7, 2015 Michael Tepedino Failed to Cooperate with a FINRA Investigation into His Alleged Undisclosed Outside Business Activity Michael Tepedino failed to cooperate with a FINRA investigation into his alleged undisclosed outside business activity with Allstate, according to a re.
Tyrel L. Sipe— Refusing to Appear for Testimony Regarding His Discharge July 7, 2015 Tyrel L. Sipe Allegedly Refused to Appear for Testimony Regarding His Discharge from W&S Brokerage Services, Inc. Tyrel L. Sipe allegedly refused to appear for testimony regarding his discharge from W&S Brokerage Services, Inc.
It has been a tumultuous past couple of weeks for SCOTUS watchers. Rarely has the Court issued a series of opinions of such sweep and contention. The reader may recall my earlier coverage of the oral arguments of a particular case from this 2014 session, Kingsley v. Hendrickson. Forgetting is understandable in light of a certain two other decisions of the Court – decisions th ...
Craig L. Josephberg—Defrauding Company Investors, Pump-and-Dump Scheme July 7, 2015 Craig L. Josephberg Allegedly Pocketed Millions in a Purported Pump-and- Dump Scheme Craig L. Josephberg, of New York City, allegedly took in millions from investors while running an intricate pump-and-dump scheme involving shares of a medical education company, CodeSmart, and two other mic ...
In March of this year, the Consumer Financial Protection Bureau (CFPB) recommended a set of sweeping new rules and regulations for the Payday and Car Title industry. The Consumer Financial Protection Bureau (CFPB) is an independent agency of the United States government responsible for consumer protection in the financial sector.