|
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 |
