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.
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civil penalties
2 articles tagged with "civil 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.