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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fraud
3 articles tagged with "fraud"
Kai H. Stinchcombe Settles SEC Charges for $200K in Special Needs Trust Fraud
Kai H. Stinchcombe and True Link Financial Advisors settled SEC charges for $200,000 related to misuse of special needs pooled trust funds.
Lalaine Ledford: $345M Ponzi Scheme Results in $184M Penalty
Lalaine Ledford was involved in a $345 million Ponzi-like scheme orchestrated by Kevin B. Merrill and others, resulting in significant penalties and restitution.