101. Securities Fraud Practice - Securities Class Action And Antitrust Attorneys Chit securities fraud practice of the Atlanta law firm of Chitwood Harley Harnes,which represents individuals, institutions and pension funds in classaction http://classlaw.com/CM/PracticeAreaDescriptions/practiceareadescriptions1.asp

Securities State law also provides a mechanism for recovery of damages incurred as a result of securities fraud. Because each state can enact its own legislation, state securities legislation varies throughout the states. Our Overview Attorneys Investors Links Articles ... Contingency Agreement

102. Attorney General Lockyer Files Major Securities Fraud Lawsuit Against Edward Jon Attorney General Lockyer Files Major securities fraud Lawsuit Against EdwardJones Documents Detail How Secret Mutual Fund Payments Conflicted With http://caag.state.ca.us/newsalerts/2004/04-146.htm

OFFICE OF THE AG PUBLICATIONS CONTACT US SEARCH ... LINKS TO STATE SITES Attorney General Lockyer Files Major Securities Fraud Lawsuit Against Edward Jones Documents Detail How Secret Mutual Fund Payments Conflicted With Investors' Interests December 20, 2004 FOR IMMEDIATE RELEASE "Edward Jones broke the law, and broke faith with the working families of California who placed their trust in the company's investment recommendations," said Lockyer. "The documents we have obtained show Jones blatantly disregarded investors' interests as it collected some $300 million in secret payments from mutual funds. California law requires full disclosure of information that raises questions about whether broker-dealers' recommendations serve clients' best interests. Investors deserve nothing less. I will settle for nothing less from Edward Jones." The lawsuit filed in Sacramento County Superior Court seeks disgorgement of all profits Jones gained as a result of violating anti-fraud provisions of the state Corporate Securities Law (CSL). It also seeks restitution and damages for investors who bought mutual fund shares from Jones. Additionally, the complaint asks the court to impose civil penalties for each violation of the CSL. The maximum civil penalty for each violation is $25,000. Lockyer also seeks "injunctive relief" requiring Jones to fully disclose to investors, at the point of sale, the incentive payments it receives from mutual funds. Stressing the disclosure requirements will be stringent, Lockyer said, "California will demand full honesty from Edward Jones in its dealings with this state's investors."

103. Investment And Securities Fraud - Filing A Complaint Have you been the victim of investment or securities fraud? Here s where to gofor help. http://www.thinkglink.com/article.asp?Title=Investment_and_Securities_Fraud_and_

104. Investment Fraud - Securities Fraud - Investing Scams Investment scams abound. Don t fall prey to investment or securities fraud.Read these articles, use your common sense, and stay on high alert for investing http://www.thinkglink.com/consumer-advice.asp?subcategory=Investment-Fraud

105. RAND Review | Summer 2004 | Trials And Tribulations: Expert Witnesses Chart The By most measures, today’s securities fraud class actions—which offer individual Notwithstanding the enormity of these figures, securities fraud http://www.rand.org/publications/randreview/issues/summer2004/42.html

Optimum graphic presentation of this site requires a modern standards-friendly browser. The browser you are using may not display exactly as we intended, but you will still be able to access all of our content. For more information, see About This Site . Why upgrade? Click here to see how this site's homepage displays with a modern browser. Publication Search RAND RAND Review Summer 2004 ... News Perspectives Shall We Overcome? Plots and Curves Features Localize the Remedy Selective Service Foot in Mouth Special Section: ... Trials and Tribulations Commentary Related Resources RAND Review Home Search RAND Review by Date Search RAND Review by Topic Search RAND Review by Keyword SPECIAL SECTION: Securities Fraud Class Actions 70 Years Young By Eric Talley RAND economist Eric Talley is also a law professor at the University of Southern California. By most measures, Not only have the sheer number of private securities class actions been trending decidedly upward in the last eight years, but the average settlements have similarly increased, from around $10 million in 1996 to well over $20 million last year. That is more than a 10 percent annual increase in the amount of the average settlement in the United States. Notwithstanding the enormity of these figures, securities fraud litigation is a relatively youthful species in the world of private class actions. Until the 1930s, private individuals could bring fraud litigation against corporations only in extremely limited circumstances. But after the passage of the Securities and Exchange Acts in 1933 and 1934, courts gradually began to reshape and to expand the opportunities that underlie private class actions.

106. Securities Fraud Definition InvestorWords The Best Investing Glossary on the Web! Over 6000 terms, withlinks between related terms. Definitely worth bookmarking. http://www.investorwords.com/4441/securities_fraud.html

securities fraud Definition A crime in which securities investing or trading laws have been violated. Related Terms Private Securities Litigation Reform Act of 1995 Related Research Articles from the InvestorGuide.com University Investment Choices An overview of the different types of investment choices available to the potential investor. Learn about short and long term investments, stocks, bonds, and mutual funds. Investment Clubs Learn how investing as a group can be more beneficial than investing by yourself. Find out how to find an investment club, or how to start one if there are none available. Fraud and Dispute Resolution Find out about the different types of investment fraud and how to prevent it from happening. Learn how to deal with responding to fraud and dispute resolution if it does happen to you. Featured Sponsor Give this definition a rating from 1 to 5 (5 being the best)... Add this Glossary to your Site Bookmark InvestorWords.com Home Terms by Subject ... WebFinanceInc.com Unauthorized duplication, in whole or in part, is strictly prohibited.

107. School Personnel Management securities fraud. The 1 title in this subject heading is. Financial derivatives,actionsneeded to protect the financial system report to Congressional http://library.epinet.org/epi/catalog/subjects/2166.html

School Personnel Management The 1 title in this subject heading is: United mind workers ,unions and teaching in the knowledge society Economic Policy Institute contact the Economic Policy Institute Library/Information Center Developed by Northern Lights Internet Solutions Ltd.

108. Ocean County Man Sued For Securities Fraud State And Federal Authorities Target Law and Public Safety Division of Consumer Affairs Press Release. http://www.state.nj.us/lps/ca/press/graffney.htm

Peter C. Harvey, Attorney General Division of Consumer Affairs Reni Erdos, Director For Immediate Release: February 3, 2004 For Further Information Contact: Genene Morris, Jeff Lamm 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 TRENTON - The Attorney General's Office, through the Bureau of Securities, filed suit today against an Ocean County man who stole in excess of $350,000 from more than 200 people who invested in a product he invented to protect large, personal items such as cars and boats from wind damage, Attorney General Peter. C. Harvey, Consumer Affairs Director Reni Erdos and Bureau of Securities Chief Franklin L. Widmann announced today. The State, which worked cooperatively with the U.S. Attorney's Office, District of New Jersey, filed its lawsuit seeking restitution and penalties on the same day that the defendant, Brick resident George F. Gaffney, pleaded guilty to a federal charge of mail fraud in connection with the scam. The State's complaint, filed by Consumer Affairs' Bureau of Securities in Essex County Superior Court, states that between 1999 and 2001, Gaffney enticed investors into purchasing securities in the form of ownership interests in his companies Hurricane Products, Inc."New Jersey; Hurricane Products, Inc."Delaware; and Hurricane Protection Services, LLC. The companies, which were also named as defendants, were supposed to develop and market Gaffney's patented invention, a system of straps hitched to anchors in the ground designed to tie down portable structures, large personal items and even roofs of larger structures for protection against storms. Instead of using the money invested for the further development of his product, Gaffney diverted it to support himself and his family, according to the complaint.

109. Parker Man Arrested Following Indictment For Securities Fraud Parker Man Arrested Following Indictment For securities fraud. 07/26/2005.(DENVER) – Attorney General John Suthers and Securities Commissioner Fred Joseph http://www.ago.state.co.us/press_detail.cfm?pressID=715

110. TalkLeft: Judge May Toss Securities Fraud Charge Against Martha I would like you to give me a criminal securities fraud case in which there If the Judge throws out the securities fraud charge, that leaves the jury http://talkleft.com/new_archives/005391.html

Premium Blog Ad Blog Ads TalkLeft Classifieds Stats var site="s11talkleft" Distinct visitors The pump don't work 'cause the vandals took the handles Main Sunday :: February 22, 2004 Judge May Toss Securities Fraud Charge Against Martha Monday the Judge in the Martha Stewart trial will hear more arguments and decide whether to throw out the securities fraud charge against her. From the questions put to the prosecution on Friday, this seems quite possible. Cedarbaum on Friday repeatedly asked prosecutor Karen Patton Seymour what evidence supported the claim that Stewart sought to defraud investors in Martha Stewart Living Omnimedia when Stewart issued allegedly false public statements and releases protesting her innocence in June 2002. ....Seymour said Stewart's intent to defraud investors could be inferred from the circumstances: MSLO stock was dropping, Stewart stood to personally lose $30 million for every dollar it dropped, and she knew that reassuring investors that she was both cooperating with the government and had a legitimate motive for selling the stock was designed to prop up the share price. It was at that analyst conference, Seymour said, that Stewart "drew the link" between her own conduct in the ImClone affair and the price of

111. American Criminal Law Review: Securities Fraud Access the article, securities fraud from American Criminal Law Review, apublication in the field of Reference Education, through LookSmart s http://www.findarticles.com/p/articles/mi_go2730/is_200403/ai_n9734294

@import url(/css/us/style1.css); @import url(/css/us/searchResult1.css); @import url(/css/us/articles.css); @import url(/css/us/artHome1.css); Home Advanced Search IN free articles only all articles this publication Automotive Sports FindArticles American Criminal Law Review March 2004 Content provided in partnership with 10,000,000 articles Not found on any other search engine. Featured Titles for ASA News ASEE Prism Academe African American Review ... View all titles in this topic Hot New Articles by Topic Automotive Sports Top Articles Ever by Topic Automotive Sports Save a personal copy of any page on the Web and quickly find it again with Furl.net. It's free. Get started now. Securities fraud American Criminal Law Review March, 2004 by XueMing Jimmy Cheng I. INTRODUCTION II. ELEMENTS OF THE OFFENSE A. Substantive Fraud 1. Material Misrepresentations and Omissions a. Misstatements and Omissions b. Materiality c. Intent i. Scienter ii. Willfulness d. Reliance e. Entanglement Liability 2. Insider Trading a. The Classical Theory b. The Misappropriation Theory c. Strict Regulation Under Rule 14e-3 of Non-public Information Regarding Tender Offers d. Use Versus Knowing Possession of Inside Information B. Defining Offer, Purchase, or Sale of a Security 1. Definition of "Security" a. Stocks and Notes Lacking a Profit Motive b. Instruments Protected by Other Federal Legislation c. Instruments Deemed Investment Contracts or Certificates of Interest ...

112. Banks, Lawfirms Were Pivotal In Executing Enron Securities Fraud Banks, law firms were pivotal in executing Enron securities fraud. Nine bankshid loans, set up false investments and facilitated phantom Enron sales http://www.ucop.edu/news/enron/art408.htm

FOR IMMEDIATE RELEASE Monday, April 8, 2002 Media contact: Trey Davis (510) 987-0056 trey.davis@ucop.edu Communications office (510) 987-9200 Interested Enron shareholders: (800) 449-4900 Banks, law firms were pivotal in executing Enron securities fraud Nine banks hid loans, set up false investments and facilitated phantom Enron sales Bank executives profited personally from "Ponzi scheme" Law firms structured phony deals Additional insider trading documented The Enron fraud perpetrated by the Houston-based energy giant and its auditors succeeded because of the active complicity of several prominent banks and law firms, according to new allegations in federal court today. The University of California, the lead plaintiff in the Enron shareholders lawsuit, filed a consolidated complaint in the U. S. District Court for the Southern District Court of Texas in Houston, adding nine financial institutions, two law firms and other new individual defendants to a list that already included 29 current and former Enron executives and the accounting firm of Arthur Andersen LLP.

113. #099: 02-19-04 FORMER ENRON CHIEF EXECUTIVE OFFICER JEFFREY K. SKILLING CHARGED K. SKILLING CHARGED WITH CONSPIRACY, securities fraud, INSIDER TRADING on charges of conspiracy, securities fraud, wire fraud and insider trading. http://www.usdoj.gov/opa/pr/2004/February/04_crm_099.htm

FOR IMMEDIATE RELEASE THURSDAY, FEBRUARY 19, 2004 WWW.USDOJ.GOV CRM TDD (202) 514-1888 FORMER ENRON CHIEF EXECUTIVE OFFICER JEFFREY K. SKILLING CHARGED WITH CONSPIRACY, SECURITIES FRAUD, INSIDER TRADING WASHINGTON, D.C. - Deputy Attorney General James B. Comey, Assistant Attorney General Christopher A. Wray of the Criminal Division, Federal Bureau of Investigation Director Robert Mueller, and Enron Task Force Director Leslie R. Caldwell announced today that a federal grand jury in Houston has indicted former Enron Corp. Chief Executive Officer Jeffrey K. Skilling on charges of conspiracy, securities fraud, wire fraud and insider trading. A superseding indictment returned by the grand jury in Houston yesterday charges Skilling, 50, with conspiracy to commit securities fraud, 20 counts of securities fraud, four counts of wire fraud and ten counts of insider trading. Former Enron Chief Accounting Officer Richard Causey, who was originally indicted last month, was also charged in the superseding indictment with conspiracy to commit securities fraud, 20 counts of securities fraud, eight counts of wire fraud, and two counts of insider trading. Skilling surrendered this morning to agents of the Federal Bureau of Investigation in Houston, after the indictment was unsealed. Skilling had an initial appearance this morning before Magistrate Judge Frances Stacy.

114. Former Chairman Of Now Defunct Vari-L Indicted For Securities Fraud And Related KISER faces one count of conspiracy, two counts of securities fraud, securities fraud and False Statements in Reports to the SEC both carry penalties of http://www.usdoj.gov/usao/co/0609a05Frame1Source1.htm

FOR IMMEDIATE RELEASE June 9, 2005 FORMER CHAIRMAN OF NOW DEFUNCT VARI-L INDICTED FORSECURITIES FRAUD AND RELATED CHARGES DENVER – Bill Leone, Acting United States Attorney for the District of Colorado, Kathleen E. Roberts, U.S. Postal Inspector in Charge in Denver, James Casey, Acting Special Agent in Charge of the Denver Division of the Federal Bureau of Investigation (FBI), announced that JOSEPH HAROLD KISER , age 67, of Aurora, Colorado, was indicted by a federal grand jury in Denver today on charges of conspiracy, securities fraud, false statements in reports to the Securities and Exchange Commission (SEC), and perjury. The six count indictment stems from KISER’s work as Chairman of the Board for the now defunct Vari-L Company, Inc., which was based in Denver. KISER will receive a summons to appear in U.S. District Court in Denver. According to the indictment, Vari-L was a publicly traded company that marketed a range of signal processing components that were used in communications equipment and systems, such as cellular telephones and base stations. As a publicly traded company, Vari-L was required to comply with regulations of the SEC to ensure that the company’s financial information was accurately recorded and disclosed to the investing public. KISER held various executive positions at Vari-L, including President, Chief Executive Officer, and Chief Scientific Officer. From about 1985 until 2000

115. BUFFALO LAWYER PLEADS GUILTY TO SECURITIES FRAUD Office of New York State Attorney General Eliot Spitzer. The People s Lawyer is dedicated to aggressively prosecuting and defending the interests of all http://www.oag.state.ny.us/press/2002/dec/dec13a_02.html

Home Press Releases Tour the AG's Office Contact the AG's Office ... Index Updated 1-24-03 Department of Law 120 Broadway New York, NY 10271 Department of Law The State Capitol Albany, NY 12224 For More Information: For Immediate Release December 13, 2002 BUFFALO LAWYER PLEADS GUILTY TO SECURITIES FRAUD Admits Role in Duping Hundreds of Investors Attorney General Eliot Spitzer today announced that a prominent attorney has pleaded guilty to felony charges related to his part in an investment scam that cost hundreds of investors in Western New York more than $14 million. William Gordon, 80, pleaded guilty today before Justice Vincent Doyle in Supreme Court in Erie County to one count of fraud in the sale of securities, a class "E" felony, which is punishable by up to four years in prison. Gordon co-founded Builders Capital Services in 1994 with David Corbett, a mortgage broker. The two men promoted their company as a conservative, low-risk investment fund making short-term loans to people building homes on their own lots. Gordon banked on his good standing in the community to solicit scores of investors, many of whom were elderly and retired. In June 1998, Gordon was informed that his partner had diverted $4 million from Builders Capital into risky investments, including housing developments. Gordon failed to notify investors of this diversion, as required by state law. Instead, he solicited new investors while continuing to promote the investments as low risk.

116. Securities Fraud The securities fraud unit prosecutes civil and criminal securities fraud casesfor the State and represents the Nevada Securities Division in its regulation http://ag.state.nv.us/actionbutton/bcp/securities.htm

Securities Fraud The Securities Fraud unit prosecutes civil and criminal securities fraud cases for the State and represents the Nevada Securities Division in its regulation of securities matters. Contact for Securities Fraud 555 E. Washington Avenue, Suite 3900 Las Vegas, NV 89101 Telephone: (702) 486-3194 Fax: (702) 486-3283 bcpinfo@ag.state.nv.us Links to Consumer Interest Sites Report problems with this web site to Webmaster

117. Investor Arbitration Information -- Securities Fraud And Stockbroker Arbitration How securities investors can use securities arbitration to recover losses due tomisconduct, fraud, and bad advice by stockbrokers. http://www.investorarbitration.com/

Investor Arbitration Information investor arbitration, stockbroker arbitration, securities arbitration, broker arbitration, stockbroker misconduct, broker dispute complaint claim lawsuit, unsuitable investment recommendation, fraud, misrepresentation, unauthorized trade, churning, risky stock, lawyer, law office, options, futures, attorney, registered investment advisor, financial planner Nationwide Toll Free: Sponsored by the Law Office of Vincent DiCarlo 1331 Garden Highway, Suite 300 Sacramento, California 95833 Facsimile: (916) 444-4462 Email: vdicarlo@dicarlolaw.com investor arbitration, stockbroker arbitration, securities arbitration, broker arbitration, stockbroker misconduct, broker dispute complaint claim lawsuit, unsuitable investment recommendation, fraud, misrepresentation, unauthorized trade, churning, risky stock, lawyer, law office, options, futures, attorney, registered investment advisor, financial planner Investor Securities Arbitration When an investor's losses result from unsuitable recommendations, fraud, or other misconduct or misbehavior by a stockbroker, rather than simply the luck of the market, binding arbitration sponsored by the securities industry is often the best way to recover the losses. We work with investors all over the country, and would be happy to provide you with a free nationwide consultation Forums for binding arbitration with stock brokers are sponsored by, among others, the securities exchanges, the American Arbitration Association, and the National Association of Securities Dealers. Investors are often required by the contracts they sign with their stockbrokers to submit disputes with those brokers to such arbitration. Even in the absence of contractual provisions, investors may still submit such a dispute to arbitration. If they do so, the rules of the National Association of Securities Dealers require that its member stockbrokers submit to the process as well.

118. Los Gatos Weekly-Times | Los Gatos Resident Convicted Of Securities Fraud And Mo Los Gatos resident convicted, sentenced for securities fraud and money laundering Los Gatos Public Library gets selfcheckout machine. Letters Opinions http://www.svcn.com/archives/lgwt/05.08.02/dawson-0219.html

May 8, 2002 Los Gatos, California Since 1881 'White-collar' convictions mean prison time for Los Gatos man By Gloria I. Wang A Los Gatos man has been sentenced to 2 /2 years in a state prison for the white-collar crimes of securities fraud and money laundering. John T. "Jack" Dawson, 66, received his sentence April 11 after pleading guilty in September 2000 to two of the five counts charged and agreeing to aid prosecutors in the investigations of four other defendants. According to court documents, Dawson was the attorney in charge of the San Jose offices of Colorado-based Scorpion Technologies, Inc., which had an office in Los Gatos as well. The now-defunct company "developed and sold computer software conversion systems and imaging processing technology." The U.S. Attorney's Office said Dawson had "engaged in a scheme with others to defraud purchasers of the stock of Scorpion" between 1991 and 1993. According to the attorney's office, the five defendants inflated Scorpion's profits and sold stock based on the false information. In the 2000 plea agreement, Dawson admitted to having participated in several schemes that inflated Scorpion's earnings. One of the schemes involved the company's acquisition of several offshore companies that falsely claimed to be buyers of Scorpion's products. Another inflated Scorpion's revenue when the company claimed to have exchanged four million shares of stock in return for computer software and hardware. Dawson admitted that those shares had been sold, but not for technology acquisition. Dawson "directed others to sign false audit confirmations for the purpose of misleading Scorpion's auditors."

119. CA Securities Fraud Could Land Kumar In Jail - Programming Help, Web Design Help help with CA securities fraud Could Land Kumar in Jail Programming Help, WebDesign Help, CSS Help. http://www.devarticles.com/showblog/1144/CA-Securities-Fraud-Could-Land-Kumar-in

DS Home Dev Shed ASP Free Dev Articles ... Dev Articles Dev Articles Site Dev Articles Forums Search Network Home Law Discussion CA Securities Fraud Could Land Kumar in Jail ADO.NET Apache ASP ASP.NET ... Forums: Blog History Article Discussion Games Hardware How Tos ... Site Map Law Discussion CA Securities Fraud Could Land Kumar in Jail Discussion By: Gnorb Geek in training Rating: 09-23-04 @ 5:00 pm EST Poor Best Send Me Similar Content When Posted Add Developer Shed Headlines To Your Site CA Securities Fraud Could Land Kumar in Jail From The Register: "Former Computer Associates chief Sanjay Kumar has been hit with charges of securities fraud, obstruction of justice and conspiracy by the US DoJ (Department of Justice) - a result of the company's long-running accounting scandal." 100 years in jail is their sentence, if they're found guilty of all counts. However, like the good folks at Enron, maybe they'll be able to stave the charges and punishment long enough to live a long and fruitful life. Reference URL: The Reg Discuss CA Securities Fraud Could Land Kumar in Jail Be the FIRST to comment on this topic!

120. Class Action Lawsuit Against FindWhat Over Alleged Securities Fraud Class Action Lawsuit Against FindWhat Over Alleged securities fraud. A classaction lawsuit against FindWhat over alleged securities fraud has been filed. http://blog.searchenginewatch.com/blog/050512-120714

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