James Nathan Grimes' $550,710 Pay Telephone Fraud Scheme
James Nathan Grimes and Dennis Watts were charged by the SEC for fraudulent pay telephone scams, resulting in $550,710 in penalties and permanent injunctions.
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Securities Violation
4 articles tagged with "Securities Violation"
Walter Ng & Associates: $5.2M SEC Settlement for Mortgage Fund Fraud
Walter Ng, Kelly Ng, and Bruce Horwitz settled SEC fraud charges for misusing Mortgage Fund '08 LLC assets, resulting in $5.2M in penalties and industry bans.
Kim J. Brown Hit with $110K Penalty for Unregistered Broker Fraud
Kim J. Brown faced SEC action for orchestrating fraudulent stock sales and acting as an unregistered broker, resulting in $110,000 in penalties and injunctions.
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.