Legal Eagle Review
SEC Charges optionsXpress and Five Individuals Involved in Abusive Naked Short Selling Scheme
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- Written by Legal Eagle Review
Washington, D.C - The Securities and Exchange Commission today charged an online brokerage and clearing agency specializing in options and futures as well as four officials at the firm and a customer involved in an abusive naked short selling scheme.
SEC Shuts Down Ponzi Scheme Targeting Persian-Jewish Community in Los Angeles
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- Written by LER
The Securities and Exchange Commission obtained an emergency court order to halt an ongoing Ponzi scheme that targeted members of the Persian-Jewish community in Los Angeles.
SEC Charges Ponzi Schemer Targeting Church Congregations
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- Written by LER
The Securities and Exchange Commission today charged a self-described “Social Capitalist” with running a Ponzi scheme that targeted socially-conscious investors in church congregations.
SEC Charges Goldman, Sachs & Co. Lacked Adequate Policies and Procedures
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- Written by LER
The Securities and Exchange Commission today charged that Goldman, Sachs & Co. lacked adequate policies and procedures to address the risk that during weekly “huddles,” the firm’s analysts could share material, nonpublic information about upcoming research changes. Huddles were a practice where Goldman’s stock research analysts met to provide their best trading ideas to firm traders and later passed them on to a select group of top clients.
SFMS Announces Investigation of Chelsea Therapeutics, Ltd. for Shareholders
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- Written by GNW
Shepherd, Finkelman, Miller & Shah, LLP, a law firm with offices in California, Connecticut, Florida, New York, New Jersey, Pennsylvania and Wisconsin, announces that it is investigating possible breaches of fiduciary duty and other violations of law by certain officers and directors at Chelsea Therapeutics, Ltd. ("Chelsea Therapeutics" or the "Company").
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