Lewis Allen Rivlin Liable for $6.5M in Securities Fraud Scheme
Lewis Allen Rivlin was found liable for securities fraud involving a fraudulent high-yield bank debenture trading program and ordered to pay over $6.5 million.
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civil penalty
3 articles tagged with "civil penalty"
Douglas A. Parigian Insider Trading Case: $51,460 Penalty
Douglas A. Parigian was involved in an insider trading scheme with amateur golfers targeting American Superconductor Corporation, settling for $51,460.
Edgar B. Alacan Faces $110K SEC Penalty Enforcement in New Jersey
Edgar B. Alacan is subject to SEC enforcement action in U.S. District Court for the District of New Jersey to collect a $110,000 civil penalty for securities violations.