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.
3 articles tagged with "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.
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 was involved in a $345 million Ponzi-like scheme orchestrated by Kevin B. Merrill and others, resulting in significant penalties and restitution.