Insider trading is criminal action that the Securities and Exchange Commission sometimes takes a harsh stance against. This is something that can easily be prevented, but it can also occur in some cases when you don't even realize what is going on.One thing that you...
When you are facing a securities fraud charge, it might feel like the odds against you are insurmountable. This isn't necessarily the case. You have to work hard to come up with a defense plan, but that plan might help you to reach your ultimate goal.Criminal defenses...
When people hear the term "securities fraud," they might not realize that this term encompasses more than one type of illegal activity. It is imperative that anyone who is facing charges related to securities fraud understands exactly what they are being charged...
Securities fraud is usually the result of false or misleading statements about a company or stock -- or omission of important information about a company or stock. When others make investment decisions as a result of the misrepresented or omitted information, and they...
Charges were filed against two New York businessmen by the Securities and Exchange Commission on Jan. 27, 2017. It is alleged that they were responsible for running a complex Ponzi scheme that duped investors out of more than $81 million dollars.Their scheme involved...
The Securities and Exchange Commission (SEC) is investigating an investment business that is accused of misappropriating almost $4 million in funds from investors.What are the accusations? The business is accused of misleading investors on the use of the money that...
A man who used to work for Visium Asset Management LP, as a portfolio manager, just went before a jury in New York. They only needed about 90 minutes to decide he was guilty of wire fraud, conspiracy, and securities fraud.The man's family was there when the verdict...
People who have lost money because of securities fraud have several different options that they can consider when they want to try to recoup their money. In most cases, this is a difficult process that will be fairly drawn out; however, this doesn't mean that it is...
Another one of the executives of the now-defunct Kit Digital video management software and service company has been arrested for a combination of conspiracy, securities fraud and wire fraud. He's the seventh person to end up facing criminal charges since Kit Digital...
People who deal with securities and information about publicly traded companies have to be careful about what they say and do. It is possible for a person to face criminal charges if he or she makes false claims that others use to make decisions about investments.One...