Securities Fraud Topics

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Introducing Securities Fraud Topics. At Securities Fraud Topics you can browse our extensive library of accurate Securities Fraud information and terminology. From Account Mismanagement to Unlicensed Salesmen/Unregistered Securities and everything in between, you can be confident that Securities Fraud Topics will provide you free and easily accessible accurate Securities Fraud information and terminology.

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Securities Fraud Word of the Day

The Securities Fraud Word of the Day is Churning. Churning in context to Securities Fraud means:

It is illegal for a broker to engage in excessive trading activity merely for the purpose of maximizing his own commissions. ... Read More

Securities Fraud News

Labaton's Newest Bid to Lead Major Securities Fraud Action Rejected (Law.com via Yahoo! Finance)
For the second time in less than a week, class action law firm Labaton Sucharow has been reprimanded for overreaching in its attempts to lead a major securities fraud action. New York federal Judge John E. Read More

Cuomo Said to Prepare Fraud Charges Against UBS (New York Times)
New York state Attorney General Andrew Cuomo is preparing to file civil securities-fraud charges against UBS The Wall Street Journal reported. Read More

Quest Software Inc.'s Efforts to Dismiss Securities Fraud Claims Against It and Certain Officers and Directors Are ... (PR Newswire via Yahoo! Finance)
Wolf Popper LLP, attorneys for plaintiff Middlesex Retirement System, report that the United States District Court for the Central District of California has substantially denied defendants' motions to dismiss plaintiff's class action complaint charging Quest Software Inc. and certain of its officers and directors with securities fraud in the intentional backdating of stock options. Read More

Ex-Blues owner pleads guilty in securities fraud case (CBS Sportsline)
A former owner of the St. Louis Blues hockey team faces sentencing later this year after pleading guilty to a federal charge for backdating stock options. Read More

State suspends Atascadero-based Hurst Financial's securities permit (The San Luis Obispo Tribune)
The state's Department of Corporations has suspended Atascadero-based Hurst Financial's permit to collect and sell securities to California investors, describing the business's practices as "tending to work a fraud upon the purchaser." Hurst is the third hard money lender in the county to have such activities curtailed by the Department of Corporations in the last three months. The other two ... Read More

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