investor protection

Welcome to the 'investor protection' tag page at Technorati. This page features content from the farthest reaches of the Blogosphere that authors have "tagged" with 'investor protection'.

Latest blogosphere posts tagged “investor protection”

• Happy Holidays from Investor’s Watchdog

  
  Investor's Watchblog — Authority: 123
  Regular readers of Investor’s Watchblog know that we cover all manner of investment scams.   Ponzi  schemes.   Pump and dump  schemes.  Insider trading .   Prime bank frauds .  The billions lost to investment fraud every year.  The senior citizens who spend their last years in want rather than plenty because ...
  5 days ago

• Man Arrested on Charges of Running an Oil and Gas Ponzi Scheme

  
  Investor's Watchblog — Authority: 123
  “And then one day he went searching for some food, and up through ground come a bubblin’ crude.”  Jed Clampett was from Tennessee, and, according to one alleged scam artist, the oil that sent Jed and his family to Beverly Hills was not the only oil in Tennessee. Prosecutors have arrested and charged Ashvin ...
  5 days ago

• Understanding the Difference Between What the SEC Does and What the Department of Justice Does

  
  Investor's Watchblog — Authority: 123
  Back in June 2008, we  blogged  about the SEC’s case against Massachusetts investment adviser Stephen Clifford who raised $2.9 million in connection with a financial scam and converted most of it to his personal use.  Now comes news that the Department of Justice has filed  criminal charges  against Clifford ...
  1 week ago

• SEC Halts Alleged Orange County Scam

  
  Investor's Watchblog — Authority: 123
  The U.S. Securities and Exchange Commission has  charged  Michael Bowen (”Bowen”) and three of his companies, Eagle Development Enterprises, Inc., Eagle Storage & Development, LLC, and Eagle Aviation Sales & Leasing, LLC, with conducting a $28 million securities fraud. Specifically, the SEC claims that ...
  1 week ago

• Will Ignorance Defense Continue to Screw Auction-Rate Securities Investors?

  
  Sense on Cents — Authority: 438
  Auction-rate securities investors remain at a decided disadvantage when it comes to pursuing legal claims. Misrepresentation by those distributing the auction-rate securities does not seem sufficient to warrant a claim, let alone retribution. The fact that investors are having difficulties bringing suit against Wall ...
  1 week ago

• Modifications in the existing SEBI circulars for Mutual Funds

  
  LEGAL & FINANCIAL UPDATES FROM TAX GURU — Authority: 158
  In terms of the provisions of Securities and Exchange Board of India Act, 1992, read with the provisions of the SEBI (Mutual Funds) Regulations, 1996, SEBI has issued various guidelines/circular s from time to time for compliance by Mutual Funds and... [[ This is a content summary only. Visit my website ...
  1 week ago

• President of NASAA Reminds Investors to Press for Meaningful Financial Reform

  
  Investor's Watchblog — Authority: 123
  All investors should read the  editorial  by Denise Voigt Crawford, President of the North American Securities Administrators Association (”NASAA”), in the Ft. Worth Star Telegram .  Voigt Crawfor tells it like it is.  Powerful interests are lining up to block meaningful investor protection by watering down ...
  1 week ago

• Investor’s Watchdog Helps Stop Investment Scam Before it Starts

  
  Investor's Watchblog — Authority: 123
  In the summer of 2009, two members of  Investor’s Watchdog’s  investigative team noticed an ad in the Atlanta Journal Constitution , offering to turn $250,000 into $1 million in a matter of months, “guaranteed.”  We forwarded the ad to the Atlanta office of the SEC, which passed it along to the Tennessee ...
  2 weeks ago

• SEC Halts Alleged Post-Madoff Ponzi Scheme

  
  Investor's Watchblog — Authority: 123
  We have been waiting for the first alleged Ponzi scheme case alleging conduct that began after the revelation of  Bernard Madoff’s  record-breaking scam.  The SEC commenced  that case  against Rockford Funding Group LLC (”Rockford”), alleging that the firm raised more than $11 million from more than 200 ...
  2 weeks ago

• SEC Accuses California Brokerage Firm of Fraud

  
  Investor's Watchblog — Authority: 123
  The U.S. Securities and Exchange Commission has  charged  California-based Brookstreet Securities Corp. (”Brookstreet”) and its President and CEO Stanley C. Brooks (”Brooks”) with fraud for “systematically selling risky mortgage-backed securities to investors with conservative investment goals.” ...
  2 weeks ago

• SEC Charges Former Officers of Sub-Prime Lender with Fraud

  
  Investor's Watchblog — Authority: 123
  The U.S. Securities and Exchange Commission (”SEC”) has  charged  three former top officers of New Century Financial Corp with misleading investors as New Century’s subprime mortgage business was collapsing.  The SEC claims that at the time of the alleged fraud New Century was on of the largest subprime ...
  2 weeks ago

• SEC Shuts Down Alleged Oil and Gas Scam

  
  Investor's Watchblog — Authority: 123
  The U.S. Securities and Exchange Commission (”SEC) has  charged  Striker Petroleum LLC (”Striker”) and its principals, Mark S. Roberts and Christopher E. Pippin, all of Texas, with operating a $57 million fraud.  Specifically, the SEC claims that Striker raised those millions by selling debentures to 540 ...
  3 weeks ago

• SEC Halts Alleged $75 Million Offering Fraud

  
  Investor's Watchblog — Authority: 123
  The U.S. Securities and Exchange Commission (”SEC”) has  charged  Jeremy J. Blackburn (”Blackburn”) and his company, Canopy Financial, Inc. (”Canopy”), with defrauding investors in a $75 million private placement offering.  Canopy sells administration and management services in connection with ...
  3 weeks ago

• SEC Charges Bio-Diesel Company with Fraud

  
  Investor's Watchblog — Authority: 123
  Al Gore  gave us more than a better understanding of global warming.  Unintentionally, by bringing the need for alternative fuels into the public consciousness, he inspired financial scamsters to create frauds based on that need.  The SEC  claims  that Nova Gen, of San Diego may be one such scam.  In addition ...
  3 weeks ago

• SEC Secures Asset Freezes in Connection with Alleged $190 Million Fraudulent Offering

  
  Investor's Watchblog — Authority: 123
  At the request of the U.S. Securities and Exchange Commission (”SEC”), a federal court in Minnesota has shut down  an alleged foreign currency trading scam that raised more than $190 million from more than 1,000 investors worldwide.  According to the SEC, Trevor G. Cook and Patrick J. Kiley, both of Minnesota, ...
  3 weeks ago

• SEC Halts Fraudulent Promissory Note Offering

  
  Investor's Watchblog — Authority: 123
  The U.S. Securities and Exchange Commission (”SEC”) has  charged  Derek A. Nelson and his company Capital Mountain Holding Corporation, and two other companies that Nelson controls, Systems XXI, Act I, LLC (”Act I”) and Systems XXI, Act II, LLC (”Act II”) (collectively “the defendants”), with ...
  4 weeks ago

• UK’s Serious Fraud Office Investigating Cayman Islands Hedge Fund

  
  Investor's Watchblog — Authority: 123
  In the United Kingdom, the Serious Fraud Office (”SFO”) has the ability to file criminal charges against those suspected of engaging in financial fraud.  Recently, the SFO  announced  that is conducting a criminal investigation of a hedge fund operated in the Cayman Islands, Dynamic Decisions Capital Management ...
  4 weeks ago

• Issue of No Objection Certificate for release of 1% of issue amount

  
  LEGAL & FINANCIAL UPDATES FROM TAX GURU — Authority: 158
  As per the Listing Agreement with the Stock Exchanges, the issuer company deposits 1% of the issue amount of the securities offered to the public and/or to the holders of the existing securities of the company, as the case may be, with the... [[ This is a content summary only. Visit my website www.taxguru.in for full ...
  4 weeks ago

• Press Release from UK’s Serious Fraud Office Suggests an International Fraud

  
  Investor's Watchblog — Authority: 123
  The UK’s Serious Fraud Office (”SFO”) is very effective at detecting and stopping investment fruad.  It tends, however, to give less information than would its American counterparts.  In a  press release  issued November 13, 2009, the SFO suggest that it is on the trail of a major investment fraud.  The ...
  4 weeks ago

• Securities Division, AARP resume Investor Minute education campaign

  
  Clarksville, TN Online — Authority: 489
  Tune in for investment fraud-fighting tips, this winter season, AARP, State Securities Division resume educational campaign NASHVILLE, TN – The end of the year can be a prime time for investors to think about strategies and changes to their portfolios. It also can be a time for ne’er-do-well fraud artists ...
  4 weeks ago

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