Ex-Stifel Office Head Sentenced by Judge
- Ex-Stifel Nicolaus Manager Ordered To Disgorge Over $2.4M for Fraud. Hume, Lynn // Bond Buyer;10/25/2006, Vol. 358 Issue 32494, p5
The article reports that Judge Joseph M. Hood of the U.S. District Court for the Eastern District of Kentucky has ordered Regald Smith, former broker in charge of Stifel Nicolaus and Co.'s Pikeville, Kentucky office, to disgorge more than $2.4 million for stealing funds from his brokerage...
- 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.
- It's All About the Benjamins. Trombly, Maria // Securities Industry News;11/18/2002, Vol. 14 Issue 44, p33
Reports on an increase in securities fraud in New York. Significant increase in internet crime incident in financial sector; Impact of securities fraud on business model.
- Legislation needed to beef up fraud detection. Creal, Thomas R. // American Banker;3/16/1994, Vol. 159 Issue 51, p17
Opinion. Comments on the need for legislation to beef up detection of crimes against business. Fraud cases; Performance of audit and legal professional to warn the public against investment frauds; Proposals for fraud detection.