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Registered Rep.
May 1, 2008 |
Blotter The SEC charged 11 people and three companies for an alleged conspiracy that raked in $64 million from 40,000 investors.   |
Registered Rep.
March 21, 2006
Kevin Burke |
Former Prudential Broker Barred for Market Timing A federal judge barred for life a former Prudential Securities broker for failing to respond to an order instituting proceedings issued by the SEC over fraud charges. But that may be the least of his worries. |
BusinessWeek
December 18, 2006 |
Corporate Justice Recent decisions in cases involving Enron, Computer Associates and WorldCom. |
Registered Rep.
October 1, 2005 |
Blotter Lawyers, Drugs and Money... More Market-Timing Fallout... Bank of America in Hot Seat... |
Registered Rep.
May 1, 2006 |
Blotter Mob Brokerage Bust... Footballing Felon Broker... |
Registered Rep.
December 1, 2004
Karen F. Donovan |
Raymond James Fights a Lonely Battle with the SEC After nearly two years of negotiations, the agency charged Raymond James Financial Services with civil fraud in connection with the conduct of a rogue broker who worked off-site as an independent rep in Cranston, R.I. |
Registered Rep.
August 29, 2006
Kristen French |
Pru Agrees to $600 Million Market-Timing Settlement Prudential Equity Group admitted to criminal wrongdoing in connection with the market-timing practices of a number of its brokers between 1999 and June, 2003. |
InternetNews
August 10, 2005
Tim Gray |
WorldCom Execs Face Sentencing Former execs learn how much time they will serve for their roles in the telecom's massive fraud. |
Registered Rep.
February 17, 2005
John Churchill |
From Brokerage House to the Big House Dennis Herula, the 59-year-old former Raymond James Financial Services broker who lavished himself with homes and other gifts using millions of dollars stolen from clients, was sentenced to 16 years in federal prison on Friday. |
InternetNews
November 15, 2006
Roy Mark |
Former CA Top Salesman Gets 7 Years Former Computer Associates chief salesman Stephen Richards was sentenced Tuesday to seven years in prison for his role in the company's financial accounting scandal that cost stockholders $400 million. |
Registered Rep.
October 6, 2004
Leitch & Gaffen |
Raymond James Fights the SEC's Fraud Charges The SEC brought fraud charges against the Tampa-based firm, saying the firm had looked the other way when a former broker scammed investors of approximately $44.5 million between 1999 and 2000. |
InternetNews
April 13, 2007
Roy Mark |
Former CA Chief on The Hook For $52M Sanjay Kumar also must give up 20 percent of his annual income once he is out of prison. |
Registered Rep.
September 21, 2005
Susan Konig |
Rogue Broker's Management Culpable Raymond James Financial Services (RJFS) was ordered to pay a $6.9 million fine to the SEC for failing to supervise Dennis Herula, a former broker who is currently in prison after pleading guilty to federal charges of fraud. |
InternetNews
April 20, 2006
Roy Mark |
School Official Hit With E-Rate Fraud Charge A former South Carolina school technology director is facing charges she committed mail and wire fraud in a scheme to defraud the federal E-rate program that helps schools and libraries connect to the Internet. |
InternetNews
November 2, 2006
Roy Mark |
Ex-CA Chief Sentenced to 12 Years in Prison Sanjay Kumar, CA's former chief executive, is facing 12 years in prison and an $8 million fine for his role in illegally manipulating the software company's financial results. |
InternetNews
April 24, 2006
Roy Mark |
Feds Nab E-Rate Fraudsters A Houston-based networking company agreed Friday to pay more than $4.6 million in fines and restitution to settle E-Rate fraud charges. |
CIO
July 1, 2004 |
Criminal Justice The former CIO of HealthSouth, Kenneth k. Livesay, was sentenced to six months of home detention for his role in falsifying financial information that the health-care company filed with the Securities and Exchange Commission. |
Registered Rep.
October 1, 2005
Susan Konig |
Onus on OSJs and BOMs Regulatory agencies are now moving to hold higher-ups at brokerage firms personally liable when reps working for them are charged with illegal conduct. |
InternetNews
February 12, 2007
Roy Mark |
Former Telco Exec Convicted of E-Rate Fraud A former Texas telecom executive faces up to a maximum of 140 years in prison and a $250,000 fine following his conviction Friday for defrauding the federal E-Rate program that supports Internet connections and equipment for schools and libraries. |
Registered Rep.
December 1, 2006
John Churchill |
Blotter Shelf Space No No... Broker Gets 14 Years... |
InternetNews
August 11, 2005
Tim Gray |
WorldCom Finance Boss Gets Five Years The government's key witness in the biggest fraud scandal in history is spared a long sentence. |
InternetNews
January 27, 2005
Tim Gray |
Ex-Microsoft Worker Guilty of Theft Former employee fesses up to charges of fraud and money laundering but not before amassing a booty of goods fit for a king. |
BusinessWeek
January 12, 2004 |
On Trial This year, the wheels of justice may catch up to some corporate movers and shakers. |
InternetNews
March 12, 2007
Roy Mark |
Feds Hit 3 Hackers in Stock 'Pump and Dump' U.S. authorities charge hackers in India and Malaysia with cracking U.S online brokerage accounts. |
InternetNews
November 17, 2006
Clint Boulton |
CA Sues ex-CEO For Millions, And His House CA wants millions back it spent to defend former CEO Sanjay Kumar in its "35-day month" scandal. |
InternetNews
October 23, 2006
Ed Sutherland |
Online Brokers Hit By Fraudsters SEC and other regulators investigate millions in losses of E*Trade and TD Ameritrade customers. |
InternetNews
March 2, 2007
Ed Sutherland |
McAfee Exec.: Not Guilty on Options Charges Former McAfee general counsel Kent Roberts, charged with fraud and lying to SEC, gets $1 million bail. |
Registered Rep.
March 1, 2008 |
Blotter SEC filed a civil action against five unregistered Florida brokers who were operating a pump-and-dump scheme... Third largest hedge fund fraud ever... |
InternetNews
December 7, 2006
Roy Mark |
Feds Charge Former Telecom Exec With E-Rate Fraud A former South Texas telecom executive is facing nine counts of wire fraud for allegedly bilking the federal E-Rate program for schools and libraries out of more than $140,000. |
Registered Rep.
November 1, 2006
John Churchill |
Blotter SEC Busts Another Ponzi... Broker Bends for Hedgies... NASD Says Firm Ignored Red Flags... |
InternetNews
December 21, 2006
David Needle |
Samsung Exec Pleads Guilty in DRAM Probe Prison time for Young Hwan Park in computer memory price-fixing case. |
CFO
July 1, 2004 |
Canary Chorus At least a dozen former finance executives are preparing to sing for prosecutors... NASA still hasn't found that $2 billion... CFOs on the move... |
InternetNews
November 7, 2005
Roy Mark |
Feds Park Internet Car Scam A nationwide internet scam took almost 30 victims for more than $60,000. |
CFO
Joseph McCafferty |
Laundry Time Prosecutors are applying money laundering laws to the recent crop of financial scandals. |
InternetNews
February 9, 2006
Roy Mark |
Bid-Rigging Costs Firm in E-Rate Fraud California computer maker Premio agrees to pay fines and restitution for bid-rigging and mail fraud in E-Rate program that provides technology for schools. |
InternetNews
January 14, 2010 |
eBay Software Pirate Gets Jail Time A federal judge sends one crook up the river, but it's a drop in the bucket when it comes to the massive amount of piracy claimed by the software industry. |
Registered Rep.
April 2, 2013
Megan Leonhardt |
Blotter: April 2013 Blame it on the tsunami?... Behind bars for living large on client assets... Advisor stealing from the elderly... |
InternetNews
October 19, 2006
Roy Mark |
More Indictments in DRAM Price-Fixing Probe Two former Samsung officials and a former Hynix executive are the latest to be charged in the Department of Justice's ongoing investigation into a DRAM chip price-fixing conspiracy. |
Bank Systems & Technology
February 12, 2010
Penny Crosman |
Kansas Woman Sentenced for Bank Fraud, Must Forfeit Airplane Wrote fake checks against her employer's account, now must give him the airplane crafted from a kit purchased with the money. |
InternetNews
October 25, 2004
Roy Mark |
Two Brothers Plead Guilty in E-Rate Ring Two more vendors pleaded guilty Friday to fraud charges related to the country's troubled E-rate program, the $2.25 billion initiative launched in 1997 to help schools and libraries connect to the Internet. |
Registered Rep.
May 1, 2005 |
Blotter Not-So-Hot IPO: The NASD fined Thomas Weisel Partners for levying exorbitant commission charges on "hot" IPO shares... Expelled, Reinstated, Expelled: Brokerage firm LH Ross was officially expelled from the securities industry and fined... etc. |
Registered Rep.
June 1, 2006 |
Blotter Broker Behind Bars... No Millions for Whistle-Blower... NASD Boots Violation Riddled Firm... |
Registered Rep.
June 1, 2005
Karen Donovan |
No More Slap on the Wrist Regulators are getting tough and creative on registered reps because they suspect that fines aren't a strong enough deterrent to stop illegal behavior. |
Entrepreneur
November 2009 |
Candid Talk About Stock Options Companies are clear: Stock options may not gain value. But employees still expect them. A burned senior VP at a big bank says just to cut her a bonus check. |
U.S. Banker
September 2004
Karen Krebsbach |
Security: The Inside Job Your employees wouldn't rip you off, right? Think again. Their theft will cost banks $2.4 billion this year. |
The Motley Fool
April 26, 2011
Morgan House |
Why So Few Ended Up in Jail After the Financial Crisis Banks took down the economy. Why they walked away unscathed. |
Financial Planning
April 1, 2012
Reed et al. |
Hot Topics Most nonindependent advisors see greater shift to RIA model... Investing in TICs? Proceed with caution ... Advisory fees inch up, at least on the high end... |
InternetNews
July 12, 2006
Roy Mark |
High Prison Time For Shadowcrew Culprit Chad Hatten gets more than seven years in prison for ID theft. |
InternetNews
March 16, 2005
Tim Gray |
Microsoft WebTV Hacker Sentenced Virus writer gets six months in the big house, followed by six months at home. |
InternetNews
September 11, 2006
Ed Sutherland |
Software Pirate Fined, Going to Jail A California man was sentenced to 87 months, or more than seven years, in prison and ordered to repay $5.4 million in what federal prosecutors called the largest U.S. software piracy operation. |
