November 18, 2009 |
Financial Advisor from Monmouth County Pleads Guilty to Stealing $9.8 Million from Clients
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September 30, 2009
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Spring Lake Resident Ordered to Pay $5.1 Million in Penalties and Restitution for Fraudulently Pushing Penny Stock
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September 3, 2009
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Judge Finds Monmouth County Company Defrauded Investors via a Ponzi Scheme, Orders $7 Million to be Paid in Restitution
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July 21, 2009
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Garfield Man Charged with Defrauding Investors of $1.7 Millon by Selling Unregistered Stock in Horseshoe Manufacturing Venture
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June 3 , 2009
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Deutsche Bank Securities Inc. Pays $1M to the New Jersey Bureau of Securities to Settle Auction-Rate Securities Case
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May 28, 2009
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Three Men Who Targeted Wyckoff Church Members
Reach Settlements with the N.J. Bureau of Securities
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May 20, 2009
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Citigroup Pays $3.3M to New Jersey Bureau of Securities
to Settle Auction Rate Securities Case
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April 6, 2009
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New N.J. Bureau of Securities Chief Starts Work Today
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March 9, 2009
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Attorney General Announces Lawsuit Against Unregistered
Investment Firm Accused of Defrauding $15 Million from Clients
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February 20, 2009
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New Jersey's Bureau of Securities Targets Financial Scams
Against Military Members
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February 2, 2009
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State Permanently Bars Three Securities Brokers for Market Timing
Violations and Assesses $1.15 Million in Civil Penalties
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December 23, 2008
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Former Financial Advisor Pleads Guilty to Misusing &7,100 from Non-profit Foundation
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December 18, 2008
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State and Federal Authorities Arrest Salem County Investment Broker for Defrauding Eldery Citizens Out of $1.3 Million
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November 25, 2008
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N.J. Bureau of Securities Revokes Registrations of
Two Agents Who Defrauded Elderly Investors
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August 27, 2008
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N.J. Bureau of Securities Files Suit Against Burlington County Resident Who Defrauded Investors
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August 15, 2008
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N.J. Bureau of Securities Participates in Auction Rate Securities Settlement With Wachovia
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August 14, 2008
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N.J. Bureau of Securities Participates in Auction Rate Securities Settlement with Morgan Stanley and J.P. Morgan
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August 8, 2008
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Bureau of Securities Files Suit Against Scammers Who Targeted Wyckoff Church Members
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August 7, 2008
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N.J. Bureau of Securities Participates in Settlement With Citigroup
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May 19, 2008
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Defendant Agrees to Pay $275,000 to Settle Stock Fraud Lawsuit
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March 20, 2008
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International Securities Fraud Ring Uncovered By N.J. Bureau of Securities
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March 20, 2008
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States Files Suit Against Monmouth County Investment Company; Investors Lost $12 Million in Ponzi Scheme
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March 7, 2008
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Monmouth County Man Indicted On Charges Of Securities Fraud,
Theft And Money Laundering For Stealing $690,000 From Investors
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February 14, 2008
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Couple Accused of Stealing Investments from Philadelphia Philanthropist Barred from the N.J. Securities Industry
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February 13, 2008
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N.J. Bureau of Securities Reminds Investors that Scams Often Hide Behind Today's Headlines
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January 11, 2008
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Defendants Ordered to Pay $7.95 Million
In Investor Restitution and Civil Penalties in Securities Fraud Case
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October 12, 2007
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Vincent J. Oliva Appointed Chief of the N.J. Bureau of Securities
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September 27, 2007
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Couple Indicted for Allegedly Stealing More than $500,000 from Clients of Their Investment Firm
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July 24, 2007
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Citigroup/Smith Barney Pays $5 Million to State of New Jersey for Failure to
Supervise Certain Agents Engaged in Deceptive Market Timing Activities
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July 19, 2007
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Citigroup/Smith Barney Pays $978,000 For Failure to Supervise Employees Involved With Unsuitable Short Selling Strategy
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February 15, 2007
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N.J. Bureau of Securities Obtains Restitution for Defrauded Investor Defunct Securities Dealer Operated from Monmouth County and Texas |
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October 13, 2006
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Penny Stock Digital Gas (DIGG.PK), Three Individuals Ordered to Cease Securities Related Activities, Asset Frozen |
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October 4, 2006
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First Montauk Pays $475,000 to Settle Investigation with New Jersey as Chairman
and Vice Chairman Agree to Resign from Parent Company |
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September 7, 2006
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New Jersey to Receive $561,458 in Wachovia Settlement
Multistate Enforcement Action Alleged Failure to Supervise Agents and
Failed to Maintain Required Electronic Communications |
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August 28, 2006
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Prudential Securities, Inc. Ordered to Pay $270 Million in Restitution |
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August 9, 2006
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State Obtains Restitution Judgments for Investors in Excess of
$69 Million in Securities Fraud Scheme |
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March 1, 2006
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State Sues Spanlogix, Inc. and its Principals for
Allegedly Defrauding Overseas Investors of $840,000 |
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January 24, 2006
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New Jersey Obtains $5 Million Judgement Against South Jersey Man Who Defrauded Investors Through Two Securities Scams |
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January 19, 2006
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New Jersey's Top Securities Investigator, Richard Barry, Named Enforcer of the Year by North American Securities Administrators Association. |
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January 17, 2006
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Attorney General Peter C. Harvey Reaches $10 Million Settlement
with Canary Capital and Edward Stern Over Late Trading, Market Timing
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January 12, 2006
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Attorney General Peter C. Harvey Announces $50 Million Settlement with UBS Financial Services |
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December 12, 2005
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Attorney General Peter C. Harvey Brings Lessons In Investing To New Jersey Students |
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June 29, 2005
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Attorney Generag Harvey Reaches Agreement with American Express Financial Advisors Inc. |
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April 15, 2005
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Attorney General Harvey Shuts Down
Fraudulent Internet Securities Boiler Room |
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March 24, 2005
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Attorney General Warns Investors of Top 10 Scams for 2005 |
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March 15, 2005
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Attorney General Harvey Revokes Licenses of Three New Jersey Brokers;
Seeks Penalties for Their Deceptive Practices in Trading of Mutual Funds
as Agents of Ubs Paine Webber and Merrill Lynch |
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March 8, 2005
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Attorney General Harvey Reaches Agreement with
Merrill Lynch Covering Securities Practices |
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January 13, 2005
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Attorney General Sues New York Man Who Allegedly Obtained $42 Million From Investors In Massive Securities Fraud Scheme |
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October 26, 2004
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Media Advisory - Attorney General Sponsors Major Forum to Protect Seniors |
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October 8, 2004
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Chief of N.J. Bureau of Securities Named President of North American Securities Administrators Association |
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August 26, 2004
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Deutsche Bank Securities and Thomas Weisel Partners Enter lnto Multi-Million Dollar Agreement |
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August 23, 2004
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Warning alerting New Jersey residents about a possible investment scam involving stock tips from strangers on your answering machine. |
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June 1, 2004
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Attorney General Harvey Announces $18 Million Settlement with Allianz Dresdner Asset Management of America, PA Distributors and PEA Capital |
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May 17, 2004
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Attorney General Obtains Court Order Freezing Assets of Ocean County Man and Firms He Allegedly Used to Defraud Investors of Millions |
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May 14, 2004
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Attorney General Sues South Jersey Man Who Allegedly Swindled
Investors Out of $1.6 Million Through Two Securities Scams |
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April 26, 2004
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Attorney General Obtains Order Freezing Assets of Toms River
Man Who Allegedly Defrauded Elderly Investors of $360,000 in Savings |
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April
15, 2004
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Bureau of Securities Seeks Penalties Against Unregistered Broker-Dealer in Toms River |
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April
15, 2004
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Bureau of Securities Obtains Restitution Order
For Clients of Hazlet Investment Firm |
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April 5, 2004
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Attorney General Seizes Assets of New Jersey Con Men Who Defrauded British Nationals of More Than $55 Million in Defense Industry Investment Scam |
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March
17, 2004
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Attorney General Obtains Court Order Freezing Assets of Ocean County Man and Firms He Allegedly Used to Defraud Investors of Millions |
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February
18, 2004
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Restitution
for Investment Fraud Victims Advances Court Grants State Request
to Freeze Assets, Appoint Receiver |
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February
18, 2004
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New
Jersey Bureau of Securities Bars Gloucester County Man From
Securities Industry |
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February 17, 2004
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Attorney General Harvey Charges PIMCO Mutual Fund Family with Fraudulent Market Timing Arrangement |
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February 3, 2004
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Ocean County Man Sued For Securities Fraud State and Federal Authorities Target Man Who Stole Hundreds of Thousands of
Dollars from Victims Who Invested in His Invention
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January
14, 2004
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Investors
Warned of Top 10 Scams for 2004 |
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July
17, 2003
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Bureau
Chief's Letter Regarding Horse Syndications, July 17, 2003 |
