Tammy Dickinson, U.S. Attorney for the Western District of Missouri, announced that a Kansas City, Mo., man was indicted by a federal grand jury for engaging in a nearly $3.3 million fraud scheme against a victim who invested more than $8.6 million in his companies.
Former Sydney finance broker, Jennifer Mary Farias, has been sentenced to a one-year intensive correction order in the NSW Local Court after pleading guilty to 3 counts of loan fraud which resulted in her receiving more than $100,000.
The Financial Industry Regulatory Authority (FINRA) has fined Deutsche Bank Securities $6 million for failing to provide complete and accurate trade data in an automated format in a timely manner when requested by FINRA and the Securities and Exchange Commission (SEC).
The Provincial Court of Alberta has sentenced Caroline Meyers, the principal of Calgary-based International Securities Group, to two years in prison for her role in the 2010 market manipulation of the securities of Coastal Pacific Mining Corp.
The Alberta Securities Commission (ASC) said that Robert David Peers has been sentenced to a six-month conditional sentence after being convicted for a fraud on investors under the Securities Act (Alberta).
A federal judge in Chicago refused to dismiss a lawsuit in which wheat futures and options traders accused Kraft Heinz and Mondelez International of illegally manipulating the grain's price at their expense.