Securities Fraud Blog

Advanced Search

Fight Investment Fraud
Greco & Greco’s lawyers represent investors to recover losses caused by securities fraud, churning, lack of suitability, negligence, sales of unregistered securities, unauthorized trading, and other misconduct by stock brokers, investment advisors, financial planners and their firms.

Fraud charges by SEC against Former UBS broker

Fraud charges related to the sale of a hedge fund operated as a ponzi scheme were settled with a former broker of UBS according to this CCH Wall Street article..  The SEC alleged in its Complaint that the UBS broker made misrepresentations regarding the GLT Venture Fund, L.P. while raising $14.1 million for the fund.  The broker agreed to pay disgorgement and civil penalties in addition to an injunction forbidding future violations.

Posted by Greco & Greco on 01/25 at 05:21 PM
Brokerage Firms • UBS • Hedge Funds • SEC • Permalink

Free Attorney Consultation
Toll Free: 877-821-5550
Or

Most recent entries

• Some Auction Rate Securities to be bought back at discount
• Auction Rate Securities Failures
• Fraud charges by SEC against Former UBS broker
• New York subpoenas firms in mortgage fraud probe
• Morgan Stanley Fined Over Failure to Produce E-mails in Arbitrations
• News from SEC’s Senior Summit
• Merrill reduces value of assets linked to subprime mortgages
• Securities Fraud Guilty Plea for IPOF Fund Manager
• Suitability of Hedge Funds
• Morgan Stanley fined for corporate bond overcharges
• Universal Leases found to be Unregistered Securities
• CMOs and Mortgage Backed Securities
• Morgan Stanley Fined $250,000 by Rhode Island
• Life Settlements
• Wachovia Fine Related to Fee Based Accounts

Free Attorney Consultation
Toll Free: 877-821-5550
Or

Categories

• 401k Plans
• Affinity Fraud
• Arbitration
• Auction Rate Securities (ARS)
• Bonds
• Brokerage Firms
  • A.G. Edwards
  • Banc of America
  • Bear Stearns
  • Brookstreet
  • Charles Schwab
  • Citigroup
  • Deutsche Bank
  • Edward Jones
  • Ferris Baker Watts
  • Goldman Sachs
  • J.P. Morgan
  • Lehman Brothers
  • Merrill Lynch
  • Morgan Keegan
  • Morgan Stanley
  • Piper Jaffray
  • Raymond James
  • RBC Dain Rauscher
  • Suntrust
  • UBS
  • Wachovia
• Churning
• CMOs
• FINRA
• Hedge Funds
• Insurance
• IRAs
• Life Settlements
• Mutual Funds
• NASD Regulation
• Ponzi Scheme
• Retirement
• SEC
• State Regulators
  • Arizona
  • California
  • Colorado
  • Illinois
  • Maryland
  • Massachusetts
  • New York
  • Pennsylvania
  • Rhode Island
  • Texas
  • Utah
  • Virginia
• Stock Manipulation
• Suitability
• Unauthorized Trading
• Universal Lease - Resort Holdings, Yucatan, Avalon
• Unregistered Securities
• Variable Annuities
• Viaticals

Archives

• May 2008
• March 2008
• January 2008
• November 2007
• September 2007
• August 2007
• July 2007

Links To Other Blogs

(not affiliated with this site)

Syndicate

• RSS 2.0
• Atom

Referrers

Copyright 2007, Greco & Greco, P.C.

The information contained in this website is not to be considered legal advice and the purpose of this website is not to provide legal advice. This site may contain links to other sites not controlled by Greco & Greco, P.C. By linking to theses sites, Greco & Greco, P.C. does not endorse any statements or content of those sites. Greco & Greco, P.C. does no intend that readers of this site should take action or inaction based upon the contents of this site, and expressly disclaims all liability to anyone that does so. Greco & Greco, P.C. does not intend to create an attorney-client relationship by this website. If the reader has a legal problem, he/she should consult with an attorney. Any information contained in an e-mail sent to Greco & Greco, P.C. shall not be considered privileged or confidential. E-mail is not a secure means of communication and should not be considered such.

Powered by ExpressionEngine