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    Sopranos star's ex-husband pleads not guilty in stock fraud

    Defendants accused of manipulating the stock of four companies, causing investors to lose as much as $50 million.

  2. Articles

    Global consumer confidence soars

    Plus: Credit Suisse exits the commodities trading business, Allianz stands by Bill Gross, silver has a golden summer run, three taxes we can all dislike together, and don't let tourist scams rain on your vacation

  1. Articles

    Broker in alleged penny stock scheme already focus of customer complaints

    A registered rep involved in this week's penny stock bust has been the focus of at least two prior investor complaints surrounding high-risk private placements as well as the sale of so-called penny stocks that were at the center of the alleged “pump and dump” scheme. Matthew A. Bell, 47, was

  2. Articles

    Adviser misused $8 million in client funds: SEC

    An investment adviser in Seattle fraudulently misused more than $8 million of client assets to make loans to himself, buy a luxury vacation home and refinance a vintage automobile, according to the Securities and Exchange Commission. According to an SEC administrative proceeding released on

  3. Articles

    Penny stock bust includes ex-husband of 'Sopranos' star

    One of those arrested, Abraxas 'A.J.” Discala, was married to Jamie-Lynn Sigler

  4. Articles

    Wall Street techs take secrets to next job at their peril

    Charges against trader are sign of prosecutor's willingness to criminalize financial industry disputes formerly relegated to contract litigation.

  5. Articles

    Markets climb in stride with pessimism

    Plus: Janet Yellen's dovish optimism, Ernst & Young's $4 million lobbying settlement, how Citigroup agreed on that $7 billion figure, and QE has had almost no impact on unemployment

  6. Articles

    Citigroup reaches $7 billion mortgage bond settlement

    Joins JPMorgan Chase in settling charges it misrepresenting the quality of mortgage-backed bonds sold to investors as housing prices plummeted.

  7. Articles

    Markets brace for the Fed's big talk about normalization

    Plus: Individual investors zig as professionals zag, hedging the U.S. market by going global, Citigroup in the spotlight, and futbol mania

  8. Articles

    Ex-Sterne Agee broker faces expulsion over $6 million hedge fund

    Finra charges broker Dean Mustaphalli opened fund and received commissions without disclosing the business to his firm. Whether Sterne Agee clients were affected remains a mystery.

  9. Articles

    Morgan fined $1 million in retired-broker snafu

    Wirehouse slapped with fine after Finra alleged it paid retired brokers $100M in commissions without making sure they had stopped providing advice.

  10. Articles

    Sterne Agee confirms CEO was fired after investigation report

    Sterne Agee Group Inc. on Monday confirmed that the decision to fire its former chief executive, James S. Holbrook, came after the firm was notified by federal investigators that he was the target of an investigation. “The firm was notified that Mr. Holbrook is the subject of an investigation” by

  11. Articles

    Former rep indicted in $2.5 million investment fraud

    Patricia Miller promised clients high yields if they went into “investment clubs.”

  12. Articles

    Barclays in the hot seat over charges it courted high-frequency traders

    Breakfast with Benjamin: Barclays tagged for HFT. Plus: A looming 401(k) crisis, the marriage math for gay couples, the fuzzy math of inflation data, tapping into the fracking boom, and Russian stocks are not for the meek.

  13. Articles

    Finra kicks out broker-dealer, bars CEO for Ponzi scheme that snared pro athletes

    Finra has barred a broker-dealer and its founder for allegedly defrauding a number of current and former NFL and NBA players out of nearly $14 million as part of a Ponzi scheme.

  @IN Wire

Jul 23 04:59PM
10 Wednesday PM Reads
Jul 23 04:55PM
Sopranos star's ex-husband pleads not guilty in stock fraud:

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