Securities Fraud

Securities fraud, also known as stock fraud and investment fraud, is a deceptive practice in the stock or commodities markets that induces investors to make purchase or sale decisions on the basis of false information, frequently resulting in losses, in violation of securities laws. Offers of risky investment opportunities to unsophisticated investors who are unable to evaluate risk adequately and cannot afford loss of capital is a central problem.Securities fraud can also include outright theft from investors (embezzlement by stockbrokers), stock manipulation, misstatements on a public company's financial reports, and lying to corporate auditors.
Posts about Securities Fraud
  • The Different Types of White-Collar Crime Laws in Texas

    …. Both Texas and U.S. legislation list activities that are typically considered white-collar crimes: The U.S. Constitution’s Commerce Clause authorizes federal authorities to regular white-collar crimes. Multiple federal agencies, including the Environmental Protection Agency (EPA), SEC, FBI, U.S. Customs, Department of Labor (DOL), U.S. Postal Service…

    The Law Office of Matthew D. Sharp- 9 readers -
  • Former Texas Registered Rep Arrested for Internet Ponzi Scheme

    … Former Texas Registered Rep Arrested for Internet Ponzi Scheme Posted on Wednesday, February 8, 2017 at 9:31 AM From the Desk of Jim Eccleston at Eccleston Law LLC: Former registered rep Bobby Eugene Guess was arrested following his indictment on charges of securities fraud, theft, money laundering and engaging in organized criminal activity…

    Eccleston Law Offices- 11 readers -
  • FINRA Discipline: FINRA Rule 9232

    … also practice a variety of other areas of securities for financial investors including securities fraud, unauthorized trading, breach of fiduciary duty, retirement planning negligence, and much more. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. If you are in need of legal services…

    Eccleston Law Offices- 14 readers -
  • Auditors Charged After Failing to Detect Fraud

    … represent investors and advisers nationwide in securities and employment matters. The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial investors including securities fraud, unauthorized trading, breach of fiduciary duty, retirement planning negligence, and much more. Our attorneys draw on a combined…

    Eccleston Law Offices- 9 readers -
  • NY Pension “Pay to Play” Scheme Examined (FCPA Post)

    … never serve as a vehicle for corrupt, personal enrichment. The intersection of public corruption and securities fraud appears to be a busy one, but it’s one that we are committed to policing.” Hiding the Bribes Pay to play schemes are obviously illegal. We know from the indictment that the bribes were paid by two brokers. Over $100,000 worth of goods…

    Due Diligence- 14 readers -
  • Platinum Partners Hedge Fund Ponzi – Where Are the Banks?

    … of Platinum’s Investor Relations and Finance Departments; Daniel Small, a former Managing Director and co-Portfolio Manager of Platinum; and Jeffrey Shulse, the former Chief Executive Officer and Chief Financial Officer of Black Elk Energy Offshore Operations, LLC According to the U.S. Attorney’s Office, Nordlicht, Levy, Landesman, SanFilippo and Mann…

    Due Diligence- 9 readers -
  • FINRA Discipline: FINRA Rule 9221

    …. The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial investors including unauthorized trading, securities fraud, breach of fiduciary duty, retirement planning negligence, and much more. Our…

    Eccleston Law Offices- 9 readers -
    Earlier about the same topic:
  • FINRA Panel Orders Ex-Broker to Pay $260K for Overstating Production

    … his own firm called D.L. Watson & Company in December 2015. The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial investors including unauthorized trading, securities fraud…

    Eccleston Law Offices- 15 readers -
  • FINRA Discipline: FINRA Rule 9220

    … for financial investors including unauthorized trading, securities fraud, breach of fiduciary duty, retirement planning negligence, and much more. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. If you are in need of legal services, contact us to schedule a one-on-one consultation today. Tags: Eccleston, Eccleston Law, Eccleston Law LLC, James Eccleston, FINRA, FINRA Rule 9220, FINRA disciplinary process, hearing panel, hearing officer, postponements, …

    Eccleston Law Offices- 10 readers -
  • FINRA Discipline: FINRA Rule 9215

    … sufficient information to admit or deny each allegation in the complaint. After all allegations are addressed in the answer, a respondent is allowed to assert affirmative defenses to the complaint. Moreover, a respondent is allowed to file a motion to amend the answer. After the motion is filed, a hearing officer will determine if there is good cause…

    Eccleston Law Offices- 18 readers -
  • Ex-Wells Fargo Adviser Receives 2-Year Suspension

    …. In addition, Mr. Donnarumma also sent a letter to prospective clients falsely claiming that Wells Fargo Advisors was interested in providing financing for a proposed sale-leaseback transaction for five commercial jets. FINRA alleges that Mr. Donnarumma continued these communications even after his supervisor instructed him not to do so…

    Eccleston Law Offices- 18 readers -
  • FINRA Discipline: FINRA Rule 9214

    … at Eccleston Law also practice a variety of other areas of securities for financial investors including unauthorized trading, securities fraud, breach of fiduciary duty, retirement planning negligence, and much more. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. If you are in need of legal services, contact us to schedule a one-on-one consultation today. …

    Eccleston Law Offices- 11 readers -
  • Connecticut Man Pleads Guilty in Securities Fraud Scheme

    … Connecticut Man Pleads Guilty in Securities Fraud Scheme Posted on Monday, November 28, 2016 at 9:14 AM From the Desk of Jim Eccleston at Eccleston Law LLC: Christian Meissenn, also known as “Christian Nigohossian,” from Suffield, Connecticut pled guilty to one count of conspiracy to commit mail and wire fraud and one count of tax evasion…

    Eccleston Law Offices- 12 readers -
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