Banc of America Securities Pays $137 Million in Penalties
Banc of America Securities Pays $137 Million Banc of America Securities (BAS) has agreed to pay $36 million to settle Securities Exchange Commission charges of engaging in improper bidding practices...
View ArticleInvestment Advisor Faces 20 Years For Fraud and Conspiracy
Investment Advisor Faces 20 Years For Fraud and Conspiracy Alexei P. Koval, a registered investment advisor from Chicago, Illinois, and Pasadena, California, has pled guilty to 3 counts of securities...
View ArticleDanielle Chiesi Pleads Guilty to Insider Trading While At New Castle Funds
Danielle Chiesi Pleads Guilty to Insider Trading While At New Castle Funds Danielle Chiesi worked for the New Castle Funds hedge fund group that was part of the Bear Stearns Asset Management, Inc. The...
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