Month: September 2009
Gary Gross and Axiom: Boca investment fraud
Boca investment fraud case involving Gary Gross formerly of Axiom Capital Management spotlights need to be vigilant As reported in the Sun...
Securities Regulators Prioritize Senior Investors
A new initiative will identify and publish examples of practices that financial services firms have developed with respect to their...
Jamie P. Lake, Named in SEC Investigation
Jamie P. Lake named in SEC investigation related to possible securities fraud violations. On September 8, 2009, the Securities Exchange...
Ronald E. Hardy, Jr., sanctioned for securities violations
On September 2, 2009, the Securities Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b)...
FINRA Announces Agreements with Three Additional Firms
FINRA Announces Agreements with Three Additional Firms to Settle Auction Rate Securities Violations Northwestern Mutual Investment...
FINRA Bars Citigroup Sales Assistant Tamara Lanz Moon
Broker Targeted Accounts of Elderly and Vulnerable Clients; Citigroup Has Paid Restitution to Customers The Financial Industry Regulatory...
