Owen R. Fox Faces $7.9M Contempt Motion for Securities Fraud
Owen R. Fox and Bruce Franklin face SEC civil contempt motion for failing to pay $7.9M in disgorgement after securities law violations involving fraud.
Tag
Antifraud
5 articles tagged with "Antifraud"
Leslie A. Arouh Faces $110K Penalty for Bond Trading Fraud Scheme
Leslie A. Arouh was ordered to pay a $110,000 civil penalty by the SEC for violating antifraud provisions in connection with an adjusted trading scheme involving corporate bonds.
Patrick H. McCarthy III: $100K Penalty for SEC Fraud & Obstruction
Patrick H. McCarthy III paid $100,000 in civil penalties for antifraud violations of federal securities laws and obstruction of SEC proceedings.
George Chachas: $630K Penalty in $12M Stock Manipulation Scheme
George Chachas faced SEC action in the Cavanagh case for manipulating Electro Optical Systems stock, part of a scheme that generated over $12 million in illegal profits.
Jason C. Wong Hit with $3M Penalty in Corporate Hijacking Scheme
Jason C. Wong, along with Irwin Boock and Stanton B.J. DeFreitas, was ordered to pay part of $12.9M in relief for hijacking 23 defunct companies and selling unregistered securities.