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Wall Street star Philip Falcone admits wrongdoing in SEC settlement

...engaged in serious misconduct that harmed investors, and their admissions leave no doubt that they violated the federal securities laws," Andrew Ceresney, the SEC's co-director of enforcement, said in a statement. "Falcone must now pay...

http://chronicle.augusta.com/news/business/2013-08-19/wall-street-star-philip-fa
Jury convicts 5 people of selling worthless stock

...million worth of unregistered stock and targeting poor investors who weren't qualified to purchase shares. Under federal securities law, a person must have a net worth of at least $1 million or an annual income of $200,000 for the past two years...

http://chronicle.augusta.com/news/2013-05-15/jury-convicts-5-people-selling-wort
Feds probe ex-UGA coach

...that the SEC will file a substantial claim in this case based on potential remedies for alleged violations of the federal securities laws," attorneys said in a motion filed earlier this month in the Middle District of Georgia bankruptcy court...

http://chronicle.augusta.com/latest-news/2012-03-27/feds-probe-ex-uga-coach
Scheme brought in more money

...elaborate scheme that used new investor money to pay old investor dividends. If true, that's a violation of federal securities laws. Mr. Treadwell and Mr. Saturday say lender money was actually invested in a wide array of companies and ventures...

http://chronicle.augusta.com/stories/2005/03/26/met_448468.shtml
Metro
Judge dismisses SEC case against former brokers; SEC to refile

...from market timing activities," according to the complaint. The SEC complaint alleges the brokers violated federal securities law and that Shannon "substantially assisted" the brokers by, among other things, approving market timing trades...

http://chronicle.augusta.com/stories/2004/06/16/fin_419086.shtml
Finance
Fund investigation raises thorny issues for prosecutors

...this is part of a broader trend we've seen over the last two or three years to criminalize the enforcement of federal securities law," said Stephen Crimmins, a former deputy chief litigation counsel at the SEC now in private practice at Pepper...

http://chronicle.augusta.com/stories/2003/12/22/fin_394070.shtml
Finance
Lawyer: investors still not safe from Wall Street abuses

...for investment losses. He also called the plaintiffs "high-risk speculators" who shouldn't "twist the federal securities laws into a scheme of cost-free speculators' insurance." Your firm wasn't involved in that lawsuit, but at...

http://chronicle.augusta.com/stories/2003/07/28/fin_382352.shtml
Finance
Business briefs

...16 clients of PricewaterhouseCoopers submitted financial statements from 1996 to 2001 that didn't comply with federal securities laws. Coca-Cola Co. reports increase in profits ATLANTA -Coca-Cola Co. reported a 15 percent increase in second-quarter...

http://chronicle.augusta.com/stories/2002/07/18/bus_348912.shtml
Business
Stock exchange settles charges by SEC

...underscores that self-regulatory organizations such as the New York Stock Exchange must vigilantly enforce the federal securities laws and their own rules," SEC Enforcement Director Richard Walker said in a statement. They were charged with violating...

http://chronicle.augusta.com/stories/1999/06/30/bus_264682.shtml
Business
Poteet partner bankrupt

...to Oct. 6, 1998. The lawsuit alleges that the corporation and some of its officers and directors violated federal securities laws by misrepresenting or failing to disclose financial information. The filings were made, the company said, to...

http://chronicle.augusta.com/stories/1999/06/04/bus_262883.shtml
Business