SEC Plan Would Have Howe Solomon Pay Ex-Customers for Markups
- Howe Solomon's Hall gets time out in 1 of 4 NASD cases. Hume, Lynn // Bond Buyer;03/17/99, Vol. 327 Issue 30600, p7
Reports on the suspension of Christopher Hall of Howe Solomon and Hall from the securities industry in the United States. Cases filed against Hall by the National Association of Securities Dealers.
- SEC releases details of Howe Solomon deal. Ferris, Craig // Bond Buyer;11/17/98, Vol. 326 Issue 30522, p2
Reports that the United States Securities and Exchange Commission has released a detail breakdown of the $135,412 that 88 customers of Howe Solomon & Hall Inc. will receive under a disgorgement plan.
- Broker-dealer settles case over excessive markups. Hume, Lynn Stevens // Bond Buyer;06/01/98, Vol. 324 Issue 30404, p1
Reports on the decision of Miami, Florida-based broker-dealer Howe Solomon & Hall Inc. and its chief financial officer Christopher J. Hall to settle legal case over excessive markups of municipal securities filed by the US Securities and Exchange Commission. Amount to be paid by Howe Solomon as...
- Protect yourself from fraud. Nusbaum, David // Futures: News, Analysis & Strategies for Futures, Options & Deri;Mar1995, Vol. 24 Issue 3, p64
Warns investors about fraud in trading. Commodity Futures Trading Commission (CFTC); Number of complaints; Background check on stockbroker; Fraudulent sales practices; Telemarketing; Cases; Out-of-the-money options; Effect of infomercials; Recovery; Exemptions to anti-fraud laws. INSETS:...
- Crooks and post-Communist riches. Reerink, Jack // Futures: News, Analysis & Strategies for Futures, Options & Deri;Mar1995, Vol. 24 Issue 3, p66
Discusses the factors which make Eastern Europeans ideal targets for trading fraud. Circulation of money; Regulations against investments abroad; Lack of bank regulation; Sophistication of investors; Sample case.
- Orange County-style fiasco not likely here, officials say. Kohout, Cheryl // Inside Tucson Business;9/11/95, Vol. 5 Issue 24, p1
Reports on efforts in Pima County, Arizona to prevent the repeat of the Orange County, California fiasco in Arizona. Estimated loss of Orange County in the fiasco; Three rules applied by Pima County in investing; Meeting between Pima County officials and representatives from Patterson &...
- Tucson duo nabbed for fraud. // Inside Tucson Business;05/19/97, Vol. 7 Issue 8, p3
Reports on the apprehension of a Tucson couple, an accounting firm and several other individuals on charges of securities fraud by the Arizona state securities regulators.
- Basic truths: The implications of the fraud-on-the-market theory for evaluating the `misleading'... Newman Jr., John M.; Herrmann, Mark // Journal of Corporation Law;Summer95, Vol. 20 Issue 4, p571
Discusses the concept of a securities fraud claim based on the fraud-on-the-market theory. Entry of misinformation in the market that improperly changed the price of a security; Importance of professional investors; Element of `misleadingness.'
- How to spot an investment scam. // Consumer Reports;Oct94, Vol. 59 Issue 10, p666
Presents clues and signs which can identify investment frauds. Fortune-telling; Promise of low risk and high gain; Obscure origins; High pressure sales tactics; Unsolicited advice through telephones; Legitimate scams.