September 1, 2010 |
Bedminster-Based
Investment Company Assessed $75,000 Penalty For Violations
at South Jersey Branch Office |
August 11, 2010 |
New
Online Service Provides Background Information About Investment
Adviser Representative
|
August 10, 2010 |
N.J.
Bureau of Securities and Merrill Lynch Reach Settlement Over
Stock Trades by Unregistered Employees
|
| July 7, 2010 |
N.J.
Bureau of Securities Files Suit Against Former South Jersey
Company and its Principals |
| April 22, 2010 |
Court
Grants Attorney General's Request to Shut Livingston Investment
Firm and Freeze its Assets Amid Fraud Allegations |
| April 7, 2010 |
Regal
Securities Assessed $10,000 Civil Penaty for Allowing Unregistered
Agents to Conduct Investment Transactions |
| April 7, 2010 |
Merrill
Lynch to Pay N.J. $4.87 Million to Settle Auction Rate Securities
Investigation |
| February 9, 2010 |
Bank
of America to Repurchase $386 Million in Auction Rate Securities
from N.J. Investors and Pay Civil Penalty |
| February 8, 2010 |
RBC
to Repurchase $51 Million in Auction Rate Securities from N.J.
Investors |
| January 15, 2010 |
$5.15
Million Available to Investors Defrauded by Robert Brennan
|
| September 30, 2009 |
Spring
Lake Resident Ordered to Pay $5.1 Million in Penalties and Restitution
for Fraudulently Pushing Penny Stock |
| September 3, 2009 |
Judge Finds
Monmouth County Company Defrauded Investors via a Ponzi Scheme,
Orders $7 Million to be Paid in Restitution |
| July 21, 2009 |
Garfield
Man Charged with Defrauding Investors of $1.7 Millon by Selling
Unregistered Stock in Horseshoe Manufacturing Venture |
| June 3 , 2009 |
Deutsche
Bank Securities Inc. Pays $1M to the New Jersey Bureau of Securities
to Settle Auction-Rate Securities Case |
| May 28, 2009 |
Three Men Who Targeted Wyckoff Church Members Reach Settlements
with the N.J. Bureau of Securities |
| May 20, 2009 |
Citigroup Pays $3.3M to New Jersey Bureau of Securities to Settle
Auction Rate Securities Case |
| April 6, 2009 |
New
N.J. Bureau of Securities Chief Starts Work Today |
| March 9, 2009 |
Attorney
General Announces Lawsuit Against Unregistered Investment Firm
Accused of Defrauding $15 Million from Clients |
| February 20, 2009 |
New
Jersey's Bureau of Securities Targets Financial Scams Against
Military Members |
| February 2, 2009 |
State
Permanently Bars Three Securities Brokers for Market Timing
Violations and Assesses $1.15 Million in Civil Penalties
|
| December 23, 2008 |
Former
Financial Advisor Pleads Guilty to Misusing &7,100 from Non-profit
Foundation |
| December 18, 2008 |
State
and Federal Authorities Arrest Salem County Investment Broker
for Defrauding Eldery Citizens Out of $1.3 Million |
| November 25, 2008 |
N.J.
Bureau of Securities Revokes Registrations of Two Agents Who
Defrauded Elderly Investors |
| August 27, 2008 |
N.J.
Bureau of Securities Files Suit Against Burlington County Resident
Who Defrauded Investors |
| August 15, 2008 |
N.J.
Bureau of Securities Participates in Auction Rate Securities
Settlement With Wachovia |
| August 14, 2008 |
N.J.
Bureau of Securities Participates in Auction Rate Securities
Settlement with Morgan Stanley and J.P. Morgan |
| August 8, 2008 |
Bureau
of Securities Files Suit Against Scammers Who Targeted Wyckoff
Church Members |
| August 7, 2008 |
N.J.
Bureau of Securities Participates in Settlement With Citigroup
|
| May 19, 2008 |
Defendant
Agrees to Pay $275,000 to Settle Stock Fraud Lawsuit |
| March 20, 2008 |
International
Securities Fraud Ring Uncovered By N.J. Bureau of Securities
|
| March 20, 2008 |
States
Files Suit Against Monmouth County Investment Company; Investors
Lost $12 Million in Ponzi Scheme |
| March 7, 2008 |
Monmouth
County Man Indicted On Charges Of Securities Fraud, Theft And
Money Laundering For Stealing $690,000 From Investors |
| February 14, 2008 |
Couple
Accused of Stealing Investments from Philadelphia Philanthropist
Barred from the N.J. Securities Industry |
| February 13, 2008 |
N.J.
Bureau of Securities Reminds Investors that Scams Often Hide
Behind Today's Headlines |
| January 11, 2008 |
Defendants
Ordered to Pay $7.95 Million In Investor Restitution and Civil
Penalties in Securities Fraud Case |
| October 12, 2007 |
Vincent
J. Oliva Appointed Chief of the N.J. Bureau of Securities
|
| September 27, 2007 |
Couple
Indicted for Allegedly Stealing More than $500,000 from Clients
of Their Investment Firm |
| July 24, 2007 |
Citigroup/Smith
Barney Pays $5 Million to State of New Jersey for Failure to
Supervise Certain Agents Engaged in Deceptive Market Timing
Activities |
| July 19, 2007 |
Citigroup/Smith
Barney Pays $978,000 For Failure to Supervise Employees Involved
With Unsuitable Short Selling Strategy |
| February 15, 2007 |
N.J.
Bureau of Securities Obtains Restitution for Defrauded Investor
Defunct Securities Dealer Operated from Monmouth County
and Texas |
| October 13, 2006 |
Penny
Stock Digital Gas (DIGG.PK), Three Individuals Ordered to Cease
Securities Related Activities, Asset Frozen |
| October 4, 2006 |
First
Montauk Pays $475,000 to Settle Investigation with New Jersey
as Chairman and Vice Chairman Agree to Resign from Parent Company |
| September 7, 2006 |
New
Jersey to Receive $561,458 in Wachovia Settlement Multistate
Enforcement Action Alleged Failure to Supervise Agents and Failed
to Maintain Required Electronic Communications |
| August 28, 2006 |
Prudential
Securities, Inc. Ordered to Pay $270 Million in Restitution
|
| August 9, 2006 |
State
Obtains Restitution Judgments for Investors in Excess of $69
Million in Securities Fraud Scheme |
| March 1, 2006 |
State
Sues Spanlogix, Inc. and its Principals for Allegedly Defrauding
Overseas Investors of $840,000 |
| January 24, 2006 |
New
Jersey Obtains $5 Million Judgement Against South Jersey Man
Who Defrauded Investors Through Two Securities Scams |
| January 19, 2006 |
New
Jersey's Top Securities Investigator, Richard Barry, Named Enforcer
of the Year by North American Securities Administrators Association.
|
| January 17, 2006 |
Attorney
General Peter C. Harvey Reaches $10 Million Settlement
with Canary Capital and Edward Stern Over Late Trading, Market
Timing
|
| January 12, 2006 |
Attorney
General Peter C. Harvey Announces $50 Million Settlement with
UBS Financial Services |
| December 12, 2005 |
Attorney
General Peter C. Harvey Brings Lessons In Investing To New Jersey
Students |
| June 29, 2005 |
Attorney
Generag Harvey Reaches Agreement with American Express Financial
Advisors Inc. |
| April 15, 2005 |
Attorney
General Harvey Shuts Down Fraudulent Internet Securities Boiler
Room |
| March 24, 2005 |
Attorney
General Warns Investors of Top 10 Scams for 2005 |
| March 15, 2005 |
Attorney
General Harvey Revokes Licenses of Three New Jersey Brokers;
Seeks Penalties for Their Deceptive Practices in Trading of
Mutual Funds as Agents of Ubs Paine Webber and Merrill Lynch
|
| March 8, 2005 |
Attorney
General Harvey Reaches Agreement with
Merrill Lynch Covering Securities Practices |
| January 13, 2005 |
Attorney
General Sues New York Man Who Allegedly Obtained $42 Million
From Investors In Massive Securities Fraud Scheme |
| October 26, 2004
|
Media
Advisory - Attorney General Sponsors Major Forum to Protect
Seniors |
| October 8, 2004
|
Chief
of N.J. Bureau of Securities Named President of North American
Securities Administrators Association |
| August 26, 2004 |
Deutsche
Bank Securities and Thomas Weisel Partners Enter lnto Multi-Million
Dollar Agreement |
| August 23, 2004
|
Warning
alerting New Jersey residents about a possible investment scam
involving stock tips from strangers on your answering machine.
|
| June 1, 2004 |
Attorney
General Harvey Announces $18 Million Settlement with Allianz
Dresdner Asset Management of America, PA Distributors and PEA
Capital |
| May 17, 2004 |
Attorney
General Obtains Court Order Freezing Assets of Ocean County
Man and Firms He Allegedly Used to Defraud Investors of Millions |
| May 14, 2004 |
Attorney
General Sues South Jersey Man Who Allegedly Swindled
Investors Out of $1.6 Million Through Two Securities Scams
|
| April 26, 2004
|
Attorney
General Obtains Order Freezing Assets of Toms River
Man Who Allegedly Defrauded Elderly Investors of $360,000 in
Savings |
| April 15, 2004 |
Bureau
of Securities Seeks Penalties Against Unregistered Broker-Dealer
in Toms River |
| April 15, 2004 |
Bureau
of Securities Obtains Restitution Order For Clients of Hazlet
Investment Firm |
| April 5, 2004
|
Attorney
General Seizes Assets of New Jersey Con Men Who Defrauded British
Nationals of More Than $55 Million in Defense Industry Investment
Scam |
| March 17, 2004 |
Attorney
General Obtains Court Order Freezing Assets of Ocean County
Man and Firms He Allegedly Used to Defraud Investors of Millions |
| February 18, 2004 |
Restitution
for Investment Fraud Victims Advances Court Grants State Request
to Freeze Assets, Appoint Receiver |
| February 18, 2004 |
New
Jersey Bureau of Securities Bars Gloucester County Man From
Securities Industry |
| February 17, 2004 |
Attorney
General Harvey Charges PIMCO Mutual Fund Family with Fraudulent
Market Timing Arrangement |
| February 3, 2004 |
Ocean
County Man Sued For Securities Fraud State and Federal Authorities
Target Man Who Stole Hundreds of Thousands of
Dollars from Victims Who Invested in His Invention |
| January 14, 2004 |
Investors
Warned of Top 10 Scams for 2004 |
| July 17, 2003 |
Bureau Chief's
Letter Regarding Horse Syndications, July 17, 2003 |
