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fraud

legal-news

Convict Libor brokers only if they played ‘significant’ role, UK jury told

22/01/2016(0)
Jurors in Britain’s second Libor trial were instructed on Thursday not to convict the six former brokers in the dock unless evidence showed they played a “significant” part in ... Read More
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SEC Charges 11 Bank Officers and Directors With Fraud

14/01/2016(0)
The Securities and Exchange Commission today announced fraud charges against 11 former executives and board members at Superior Bank and its holding company involved in various schemes to conceal ... Read More
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FINRA Sanctions Fidelity Brokerage Services LLC $1 Million for Supervisory Failures

21/12/2015(0)
Firm Failed to Follow Up on Red Flags to Detect or Prevent Theft of Funds From Senior Investors by Fraudster Posing as Fidelity Broker The Financial Industry Regulatory Authority ... Read More
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BCSC panel issues lifetime ban against self-employed “Forex” trader

09/12/2015(0)
A British Columbia Securities Commission (BCSC) panel has fined and permanently banned Hong Liang Zhong from the province’s capital markets for fraud, unregistered trading and offering clients false guarantees to reimburse ... Read More
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Serious Fraud Office interviews Deutsche Bank traders as it steps up criminal probe into Libor rigging

27/08/2015(0)
The Serious Fraud Office has interviewed present and former Deutsche Bank traders as it steps up its criminal probe into the manipulation of Libor interest rates. At least one ... Read More
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SEC charged Two men and Eight companies with defrauding investors

31/07/2015(0)
The Securities and Exchange Commission today charged two men and eight companies with defrauding investors, many of them upstate New York residents, who purchased the companies’ securities and so-called ... Read More
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SEC Pays More Than $3 Million to Whistleblower

20/07/2015(0)
The Securities and Exchange Commission announced a whistleblower award of more than $3 million to a company insider whose information helped the SEC crack a complex fraud. The multi-million dollar ... Read More
Bcsc canada regulator

BCSC panel issues lifetime ban against blog writer for fraud

25/06/2015(0)
A British Columbia Securities Commission (BCSC) panel has fined and permanently banned Noshad Dowlati from the province’s capital markets for fraud and trading and advising without registration. Dowlati operated a blog ... Read More
UBS

UBS Gave Out ‘Instruction Manual on Fixing Libor,’ Hayes Said

19/06/2015(0)
Thomas Hayes, a former trader on trial over charges he manipulated benchmark rates, told prosecutors in 2013 that UBS Group AG distributed “an instruction manual on fixing Libor” to ... Read More
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IRS Responding To Return Fraud Concerns

04/06/2015(0)
The US Internal Revenue Service has made improvements to its systems to detect and prevent identity theft-related tax return fraud, but must do a lot more to eliminate the ... Read More
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