Galvin charges firm with fraud for failing to admit guilt
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It's not enough to pay a fine for breaking securities laws in Massachusetts. State officials want a public admission of guilt, too.
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New York Attorney General Eliot  Spitzer on Friday filed suit against Universal Life Resources  (ULR), charging the life and disability insurance broker with  taking fraudulent kick-backs for steering business to insurers  MetLife, Prudential and UnumProvident.
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The two lawyers are charged with having played important roles in a penny stock fraud that cost investors at least $160,000 in 2005.
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Former Computer Associates (CA) CEO Sanjay Kumar pleaded not guilty on Thursday in U.S. District Court in Brooklyn, N.Y., to charges of securities fraud and obstruction of justice involving a multi-billion dollar accounting scandal.
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State regulators filed an administrative complaint against a Scituate man who is accused of selling securities without being registered. Massachusetts Secretary of State William F. Galvin's office said Thomas John McKenna, 52, operated as an unregistered broker-dealer, soliciting investors for companies he represented through his own firm, Sales Fusion Inc., of Norwell.
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The former chief executive of software maker Computer Associates International was charged yesterday with securities fraud in a multibillion-dollar accounting scandal, and the company agreed to pay $225 million to stave off criminal charges.
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UBS Securities, the investment-banking division of the Swiss-based UBS, was accused by Massachusetts regulators of dishonest and unethical practices in dealings with hedge-fund advisers. The subsidiary, based in Stamford, Conn., gave hedge-fund managers below-market rent, low-interest personal loans and other benefits to retain and increase business, according to a complaint from the office of William Galvin, the secretary of the commonwealth and its top securities regulator. The complaint also accuses UBS of failing to supervise gifts and gratuities. The action, filed with the stateâs Securities Division, seeks a cease-and-desist order, a censure and an undisclosed administrative fine, the statement said. Doug Morris, a UBS spokesman in New York, declined to comment.
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he New York State Commission on Judicial Conduct has decided to initiate charges against Laura D. Blackburne, the trial judge who, the police contend, helped a robbery suspect in her courtroom elude arrest.
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A former Qwest executive will plead guilty to a misdemeanor instead of going through a second trial on federal fraud charges. Thomas Hall, a former senior
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Former Computer Associates International Inc CEO Sanjay Kumar yesterday pleaded not guilty to charges that he was involved in CA&#39;s multibillion accounting fraud and then tried to cover up the scam from federal investigators.
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French bank Societe Generale described Sunday how one of its traders allegedly carried out a $7.2 billion (&#8364;4.9 billion) fraud, how the loss came to light and what it is doing to ensure such a case does not recur.
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Nine vendors have been charged with  creating false account records in a scheme that allowed U.S.  Food Service Inc., a unit of Dutch retailer Ahold N.V.  AHLN.AS, to inflate earnings by more than $800 million,  federal prosecutors said on Thursday.
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Doubts over charges against a US firm underscore concerns about the legal system and foreign investment.
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A Paris prosecutor on Monday asked for preliminary charges of forgery, breach of trust and fraud to be filed against a trader accused by Societe Generale bank of causing what could be history's largest trading fraud by a single person.
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The defense blames any inconsistencies in his accounts on memory blur rather than an intent to deceive.
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Boston United manager Steve Evans admits a fraud charge at a trial in London.
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A man charged in one of the largest identity theft scams in U.S. history pleaded guilty to charges of conspiracy, wire fraud, and fraud in connection with identity documents Tuesday and could face up to 50 years in prison, according to a statement from U.S. Attorney David Kelley, of the Southern District of New York.