David Syre Pays $61K in Metropolitan Mortgage Securities Fraud
David Syre settled SEC charges related to financial reporting fraud at Metropolitan Mortgage & Securities Co., paying $61,508 in penalties and accepting injunctions.
Tag
Civil Penalties
7 articles tagged with "Civil Penalties"
John K. Bradley: $75K Penalty in Physician Computer Network Fraud
John K. Bradley settled SEC accounting fraud charges related to Physician Computer Network, Inc., agreeing to a $75,000 penalty and permanent injunction.
Steven Enrico Lopez, Sr.: $1.1M Penalty in Securities Fraud Case
Steven Enrico Lopez, Sr. faced securities fraud charges in the Central District of California, resulting in over $1.1 million in disgorgement and penalties.
Frederick Harris $75M Prime Bank Scheme - $5.1M Penalty
Frederick Harris and co-defendants orchestrated a $75 million prime bank fraud scheme. The SEC obtained summary judgment, imposing permanent injunctions and penalties.
James G. Lewis: $1M Penalty in JB Oxford Late Trading Fraud
James G. Lewis, former officer of JB Oxford Holdings, settled SEC civil fraud charges for late trading and market timing schemes, resulting in $1M in penalties.
Jason W. Brola: $120K Penalty for Securities Fraud and Sales
Jason W. Brola received a $120,000 penalty after the SEC obtained default judgments against him and co-defendants for securities fraud and unregistered sales.
Morgan Cooper's $125,000 Unregistered Stock Sales Fraud
Morgan Cooper, along with James J. Caprio and Jeffrey G. Nunez, faced SEC charges for unregistered stock sales and false statements, resulting in $250,000+ penalties.