Misconduct Case Digest
1/1/2009 to 12/31/2009
PricewaterhouseCoopers LLP (PwC) collects, daily, English language articles and government filings from around the world related to business irregularity. This spreadsheet organizes the materials by
sector, company named in article, and alleged scheme. PwC also maintains a proprietary encyclopedia of common and sector specific schemes and scenarios, key risk factors and indicators, preventive
controls, and detection procedures.
The information on the spreadsheet derives solely from news media and other publicly available information. It does not necessarily include the most current information or status on the matter
mentioned in the article. PwC expresses no opinions or views regarding the accuracy of the information described in the news article or government filing. For additional information, please contact
Jonny Frank at jonny.frank@us.pwc.com
Sector Company Scheme(s) Reference
"SEC Sues Former President Of United Industrial Corporation
Subsidiary For Authorizing The Payment Of Foreign Bribes" -
www.SEC.gov
Link to SEC Complaint -
Aerospace & Defense ACL Technologies Inc. Payments to Government Officials http://www.sec.gov/litigation/complaints/2009/comp21063.pdf
"SEC Obtains Jury Verdict Finding Stock Broker Liable For Insider
Aerospace & Defense Aviall Inc. Insider Trading Trading In The Securities Of Aviall, Inc." - www.SEC.gov
"Former Boeing Engineer Convicted of Economic Espionage in
Aerospace & Defense Boeing Inc. Misappropriation of Intellectual Property Theft of Space Shuttle Secrets for China" - www.USDOJ.gov
Disbursement of company funds including the
issuance of false credits or refunds or rebates and
bribes to legitimate vendors for which the employee "Dynamics Research Corporation to Pay $15 Million to Resolve
receives a kickback Allegations of Kickbacks and False Claims Related to Air Force
Aerospace & Defense Dynamics Research Corp. Fraud Against the Government or Customers Contracts" - www.USDOJ.gov
Antitrust
Fraud Against the Government or Customers "Defense Contractor Pleads Guilty to Wire Fraud in Connection with
Payments to Government Officials the Procurement of a Bullet-Proof Vest Contract in Iraq" -
Aerospace & Defense Global-Link Distribution LLC Wire Fraud www.USDOJ.gov
"SEC Files Settled Charges Against ITT Corporation For Violations
Of The Books And Records And Internal Controls Provisions Of
The Foreign Corrupt Practices Act" - www.SEC.gov
Link to SEC Complaint -
Aerospace & Defense ITT Corp. Payments to Government Officials http://www.sec.gov/litigation/complaints/2009/comp20896.pdf
"Northrop Grumman Corp. Settles False Claims Act Case for
Aerospace & Defense Northrop Grumman Corp. Fraud Against the Government or Customers Defective Satellite Parts" - www.USDOJ.gov
Conflicts of Interest
Disbursement of company funds including the
issuance of false credits or refunds or rebates and
bribes to legitimate vendors for which the employee "Ex-Air Force contractor pleads guilty, will cooperate with
Aerospace & Defense Schaller Engineering Inc. receives a kickback investigation into kickback scheme" - Associated Press Newswires
"Sikorsky Aircraft Pays $2.9 Million to Settle False Claims Act
Aerospace & Defense Sikorsky Aircraft Corp. Fraud Against the Government or Customers Allegations" - www.USDOJ.gov
"Virgin Atlantic CEO Concedes Price Fixing --- Ridgway
Acknowledges Involvement in Cartel With British Airways but Won't
Aerospace & Defense Virgin Atlantic Airways Ltc. Antitrust Face Charges" - The Wall Street Journal
Sector Company Scheme(s) Reference
Automotive MAN AG Commercial Bribery "Bribery Inquiry at Manufacturer MAN" - The New York Times
Automotive Porsche Automobil Holding SE Insider Trading "Former Porsche Officials in Probe" - The Wall Street Journal
"Two Indicted for Conspiring to Steal Trade Secrets from Goodyear
Automotive Wyko Tire Technology iNC. Misappropriation of Intellectual Property Tire and Rubber Company" - www.USDOJ.gov
Banking and Capital Markets Banco Santander SA Aiding & Abetting "Switzerland Investigates Santander" - The Wall Street Journal
Aiding & Abetting
Disbursement of company funds including the
issuance of false credits or refunds or rebates and
bribes to legitimate vendors for which the employee
receives a kickback
Money Laundering
Banking and Capital Markets Bank Medici AG Wire Fraud "Madoff Kickbacks Alleged in Austria" - The Wall Street Journal
"Former Bank Of America Branch Manager Sanchez Sentenced To
63 Months In Prison For $2 Million Bank Fraud Scheme" - US Fed
Banking and Capital Markets Bank of America Commercial Bribery News
"BofA's Lewis Subpoenaed Over Merrill; Thain Talks" - The Wall
Banking and Capital Markets Bank of America Corp. Disclosure Fraud through Financial Reports Street Journal
"SEC Reviewing Omission of Merrill Bonuses From Filing" - The
Banking and Capital Markets Bank of America Corp. Disclosure Fraud through Mediums Washington Post
"Barclays is fined over inaccurate trade reports" - The Wall Street
Banking and Capital Markets Barclays PLC Disclosure Fraud through Financial Reports Journal Europe
"Former BNP banker convicted in Hong Kong's first insider dealing
Banking and Capital Markets BNP Paribas Insider Trading trial" - Associated Press Newswires
"SEC Charges Wall Street Investment Banker and Seven Others in
Widespread Insider Trading Scheme" - www.SEC.gov
Link to SEC Complaint01 -
http://www.sec.gov/litigation/complaints/2009/comp21020-kara.pdf
Link to SEC Complaint02 -
http://www.sec.gov/litigation/complaints/2009/comp21020-azar.pdf
Link to SEC Complaint03 -
http://www.sec.gov/litigation/complaints/2009/comp21020-
Banking and Capital Markets Citigroup Inc. Insider Trading mardini.pdf
"Citi, SEC Are In Talks To Settle Asset Probe" - The Wall Street
Banking and Capital Markets Citigroup Inc. Disclosure Fraud through Financial Reports Journal
"Citigroup and Investors Spar Over an Alleged Fraud" - The Wall
Banking and Capital Markets Citigroup Inc. Securities fraud Street Journal
"SEC Files First Credit Default Swap Insider Trading Case" -
www.SEC.gov
Link to SEC Complaint -
Banking and Capital Markets Deutsche Bank AG Insider Trading http://www.sec.gov/litigation/complaints/2009/comp21023.pdf
"Commission Charges Mark T. Turkcan with Fraud" - www.SEC.gov
Link to SEC Complaint -
Banking and Capital Markets First Bank Mortgage Securities fraud http://www.sec.gov/litigation/complaints/2009/comp20882.pdf
Sector Company Scheme(s) Reference
"Montana State Auditor Lindeen Busts Great Falls Company,
National Affiliate In Bait-And-Switch, Securities Fraud Scam" - US
Banking and Capital Markets First Fidelity Financial Group Securities fraud Fed News
Improper Use of Fiduciary Funds "Bank Financial Adviser's Theft Sentence Next Week" - SAPA
Banking and Capital Markets First Rand Bank Wire Fraud (South African Press Association)
"SEC Charges 14 Specialist Firms for Improper Proprietary
Trading" - www.SEC.gov
Improper Fund Trading Arrangements Not Disclosed Link to SEC Administrative Proceedings -
Banking and Capital Markets Goldman Sachs Securities fraud http://www.sec.gov/litigation/admin/2009/34-59505.pdf
"Ex-Goldman Worker Is Arrested --- FBI Alleges Computer
Programmer Stole Codes Related to a Trading System" - The Wall
Banking and Capital Markets Goldman Sachs Misappropriation of Intellectual Property Street Journal
"SEC Charges Five Individuals With Insider Trading In Connection
With Safeco Corp.'s Merger Announcement; Three Defendants
Agree to Settlements Including Permanent Injunctions and
Payment of Disgorgement and Civil Penalties Totaling Over
$417,000" - www.SEC.gov
Link to SEC Complaint -
Banking and Capital Markets Goldman Sachs Insider Trading http://www.sec.gov/litigation/complaints/2009/comp21133-perez.pdf
"Goldman Subpoenaed on Huddles --- Massachusetts Official
Worries Tips Leave Some Clients at a Disadvantage" - The Wall
Banking and Capital Markets Goldman Sachs Conflicts of Interest Street Journal
Banking and Capital Markets HSBC Holdings PLC Commercial Bribery "Former HSBC Executive Sentenced" - The Wall Street Journal
"SEC Charges Wall Street Professionals And Others With Insider
Trading" - www.SEC.gov
Link to SEC Complaint -
Banking and Capital Markets Jefferies Group Inc. Insider Trading http://www.sec.gov/litigation/complaints/2009/comp20884.pdf
"Office Of Financial And Insurance Regulation Announces $480
Million Auction Rate Securities Settlement With JPMorgan Chase" -
Banking and Capital Markets JPMorgan Chase & Co. Disclosure Fraud through Mediums US Fed News
"SEC Charges Two Former Directors Of J.P. Morgan Securities
With Fraud In Connection With Unlawful Payment Scheme To
Obtain Municipal Bond And Swap Business" - www.SEC.gov
Conflicts of Interest Link to SEC Complaint -
Banking and Capital Markets JPMorgan Chase & Co. Payments to Government Officials http://www.sec.gov/litigation/complaints/2009/comp21280.pdf
"SEC Charges Former Employees Of Global Firms In Serial Insider
Trading Scheme" - www.SEC.gov
Link to SEC Complaint -
Banking and Capital Markets Lazard Freres & Co. LLC Insider Trading http://www.sec.gov/litigation/complaints/2009/comp21339.pdf
Related Party Transactions "A Fraud Probe Startles Austria --- Meinl Bank's Namesake
Securities fraud Arrested in $4 Billion Case; a Political Angle?" - The Wall Street
Banking and Capital Markets Meinl Bank AG Undefined - Financial misconduct by management Journal
Sector Company Scheme(s) Reference
"Merrill Men Paid Over $10 Million Subpoenaed" - The Wall Street
Banking and Capital Markets Merrill Lynch Disclosure Fraud through Mediums Journal
Banking and Capital Markets Merrill Lynch Aiding & Abetting "Merrill to Pay $40 Million in Refco Case" - The Wall Street Journal
"SEC Charges Husband Of Former Merrill Lynch Employee And
Two Business Associates With Insider Trading" - www,SEC.gov
Link to SEC Complaint -
Banking and Capital Markets Merrill Lynch Insider Trading http://www.sec.gov/litigation/complaints/2009/comp21079.pdf
"SEC Halts On-Going $68 Million Ponzi Scheme Involving Sale of
Bogus High-Yield CDs Issued by Caribbean-Based Bank and Its
Swiss Affiliate" - www.SEC.gov
Link to SEC Complaint -
Banking and Capital Markets Millennium Bank Securities fraud http://www.sec.gov/litigation/complaints/2009/comp20974.pdf
"M'bishi UFJ Securities employee sells data of 49,000 clients" -
Banking and Capital Markets Mitsubishi UFJ Financial Group Inc. Misappropriation of Intellectual Property Kyodo News
"Ex-M.Stanley China dealmaker under investigation" - Reuters
Banking and Capital Markets Morgan Stanley Payments to Government Officials News
Creation of Fictitious Vendors by an Employee or
Using Shell Companies
Personal purchases "Morgan Stanley Worker Indicted In a Theft Case" - The Wall Street
Banking and Capital Markets Morgan Stanley Theft of Checks Journal
"Morgan Stanley To Pay More Than $7 Million To Resolve FINRA
Charges Relating To Misconduct In Early Retirement Investment
Disclosure Fraud through Mediums Promotion - FINRA Also Bars Broker, Charges Second Broker,
Banking and Capital Markets Morgan Stanley Improper Use of Fiduciary Funds Suspends Supervisor" - Exchange News Direct
"SEC Charges Morgan Stanley and Former Adviser with Misleading
Clients" - www.SEC.gov
SEC Administrative Proceeding -
http://www.sec.gov/litigation/admin/2009/34-60342.pdf
SEC Administrative Proceeding -
Banking and Capital Markets Morgan Stanley Conflicts of Interest http://www.sec.gov/litigation/admin/2009/34-60344-o.pdf
Aiding & Abetting "Swiss Banking Executive and Swiss Lawyer Charged with
Banking and Capital Markets Neue Zuercher Bank Tax Fraud Conspiring to Defraud the United States" - www.USDOJ.gov
"Inquiry Stokes Unease Over Trading Firms That Shape Markets" -
Banking and Capital Markets Optiver Securities fraud The New York Time
"SEC Warns Regions Of Possible Charges" - The Wall Street
Banking and Capital Markets Regions Financial Corp. Undefined - Obtaining revenue or assets by fraud Journal
"SEC Files Settled Civil Action against Regions Bank in Which
Regions Agrees to Pay $1 Million Civil Penalty" - www.SEC.gov
Link to SEC Complaint -
Banking and Capital Markets Regions Financial Corp. Aiding & Abetting http://www.sec.gov/litigation/complaints/2009/comp21215.pdf
"Seymour Pierce Fined Over 3-Year Fraud" - Dow Jones
Banking and Capital Markets Seymour Pierce Wire Fraud International News
Sector Company Scheme(s) Reference
"U.S. Agents Scrutinize Texas Firm" - The New York Times
Link to SEC Complaint -
Banking and Capital Markets Stanford International Bank Securities fraud http://www.sec.gov/litigation/complaints/2009/comp20901.pdf
"Secretary Of State Carnahan Files Civil Action Against Stifel" - US
Banking and Capital Markets Stifel, Nicolaus & Company Disclosure Fraud through Mediums Fed News
Personal purchases "Former Vice-President Of SunTrust Bank Pleads Guilty To Bank
Banking and Capital Markets SunTrust Banks Inc. Theft of Company Checks and Check Tampering Fraud" - States News Service
Banking and Capital Markets Tajikistan Central Bank Related Party Transactions "Tajik Bank Defrauded, Audit Says" - The Wall Street Journal
"Former Senior Vice-President Of Twin City Bank Sentenced To
Banking and Capital Markets Twin City Bank Money Laundering Prison For Bank Fraud, Money Laundering" - US Fed News
"SEC Settles Insider Trading Charges Against Wall Street
Banking and Capital Markets UBS AG Insider Trading Professional And Tippee" - www.SEC.gov
"SEC Charges Wall Street Professionals And Others With Insider
Trading" - www.SEC.gov
Link to SEC Complaint -
Banking and Capital Markets UBS AG Insider Trading http://www.sec.gov/litigation/complaints/2009/comp20884.pdf
"Britain Adds Fine to List Of Problems UBS Faces" - The Wall
Banking and Capital Markets UBS AG Securities fraud Street Journal
Fund Pricing "FINRA Fines Wachovia Units More Than $4.5 Million For Failures
Manipulation of Investment Valuation through Relating to Trust and Mutual Fund Sales; Firm Provides More than
Banking and Capital Markets Wachovia Corp. Improper Classification or Allocation of Investments $5.4 Million in Remediation to Customers" - Business Wire
"Man Charged In Federal Court With Bank Fraud And
Banking and Capital Markets Wachovia Corp. Wire Fraud Embezzlement" - States News Service
"Bishop Woman Pleads Guilty To Embezzling $760,000 From
Banking and Capital Markets Washington Mutual Bank Wire Fraud Washington Mutual Bank" - US Fed News
"Sally Ann Nutting Arraigned And Pleads Guilty In U.S. Federal
Banking and Capital Markets Western Security Bank Theft of Cash Receipts Court" - States News Service
"Commission fines suppliers of calcium carbide and magnesium
based reagents over €61 million for price fixing and market sharing
Chemicals Akzo Nobel NV Antitrust cartel" - www.europa.eu
"Akzo, Ciba and others fined euro173 million for fixing plastic
Chemicals Akzo Nobel NV Antitrust additive prices" - Associated Press Newswires
"Akzo, Ciba and others fined euro173 million for fixing plastic
Chemicals Ciba Antitrust additive prices" - Associated Press Newswires
"Akzo, Ciba and others fined euro173 million for fixing plastic
Chemicals Elementis PLC Antitrust additive prices" - Associated Press Newswires
"Former Accounting Supervisor Of Local Company Indicted For
Chemicals Kaneka Japan Wire Fraud Embezzling Millions From Employer" - US Fed News
"Commission fines suppliers of calcium carbide and magnesium
based reagents over €61 million for price fixing and market sharing
Chemicals Novácke chemické závody Antitrust cartel" - www.europa.eu
"Commission fines suppliers of calcium carbide and magnesium
based reagents over €61 million for price fixing and market sharing
Chemicals SKW Stahl-Metallurgie Antitrust cartel" - www.europa.eu
"Former Detroit Public School Official, Employee Charged With
Detroit Public Schools Education/Not for Profit Falsified Wages or Commissions Fraud" - US Fed News
Sector Company Scheme(s) Reference
"Alta Colleges to Pay U.S. $7 Million to Resolve False Claims Act
Education/Not for Profit Alta Colleges Inc. Fraud Against the Government or Customers Allegations" - www.USDOJ.gov
"Former Bookkeeper Sentenced In Connection With Loss Of
$350,000 From Student Accounts Office At Bridgewater State
Education/Not for Profit Bridgewater State College Wire Fraud College" - States News Service
"Attorney General Cuomo Announces Student Loan Settlement
With Emerson College That Returns $780,000 To Students" -
Education/Not for Profit Emerson College Conflicts of Interest States News Service
Conflicts of Interest "Former Weldon Aide Given Home Detention" - The Washington
Education/Not for Profit International Exchange Group Illegal Political Contributions Post
Personal purchases
Unauthorized Compensation "Ex-kanji body chief may face embezzlement charge" - Daily
Education/Not for Profit Japan Kanji Aptitude Testing Foundation Wire Fraud Yomiuri
"Child abuse nonprofit ripped off in payroll scam involving former
Education/Not for Profit National Children's Alliance Falsified Wages or Commissions employees" - Associated Press Newswires
"Oriental Century: CEO Inflated Sales, Cash" - Dow Jones
Education/Not for Profit Oriental Century Ltd. Undefined - Improper revenue recognition International News
Education/Not for Profit Picower Foundation Aiding & Abetting "Madoff Case Suits Seek $6.1 Billion" - The New York Times
"College Is Beset By Accusations In New Jersey" - The New York
Education/Not for Profit Stevens Institute of Technology Improper Use of Fiduciary Funds Times
Falsified Wages or Commissions "Former Accountant Herron Sentenced To Federal Prison For
Theft of Company Checks and Check Tampering Embezzling $164,000 From Charitable Organization" - US Fed
Education/Not for Profit Traveler's Aid of Metropolitan Atlanta Unauthorized Compensation News
"Nebraska auditor says audit shows deficiencies in university credit-
Education/Not for Profit University of Nebraska Personal purchases card controls" - Associated Press Newswires
West Point (United States Military Creation of fictitious vendors by an employee or using "West Point Employee Charged in Nearly $3 Million Embezzlement
Education/Not for Profit Academy) shell companies Scheme" - www.USDOJ.gov
Chevron Corp. (f/k/a ChevronTexaco "Chevron to Pay U.S. More Than $45 Million to Resolve Allegations
Energy Corp.) Fraud Against the Government or Customers of False Claims for Royalties Underpayment" - www.USDOJ.gov
Conflicts of Interest
Personal purchases
Theft of Checks
Theft of Company Checks and Check Tampering "Former General Manager Admits Embezzling Over $1 Million From
Energy Allied Oil LLC Wire Fraud Local Somerset County Oil, Gas Company" - US Fed News
"EU fines firms for fixing power-equipment prices" - The Wall Street
Energy Areva SA Antitrust Journal Europe
Disclosure Fraud through Mediums
Improper Use of Fiduciary Funds
Money Laundering
Securities fraud "Dallas/Collin County Family Indicted In Oil and Gas Securities
Energy Aspen Exploration Inc. Wire Fraud Fraud Scheme" - States News Service
"SEC Files Settled Insider Trading Charges Against Allen W. Moss"
- www.SEC.gov
Link to SEC Complaint -
Energy Callon Petroleum Co. Insider Trading http://www.sec.gov/litigation/complaints/2009/comp21209.pdf
Sector Company Scheme(s) Reference
"EU Slaps $1.53 Billion Fine on Alleged Gas Cartel --- Case Against
French, German Energy Giants Underlines Effort to Force Open
Energy E.On AG Antitrust Competition; Trying to 'Unbundle' Trade" - The Wall Street Journal
"EU Kroes: Investigating German Gas Co E.ON Ruhrgas" - Dow
Energy E.ON AG Antitrust Jones International News
Recording Fictitious Transactions
Energy El Paso Corp. Wire Fraud "Houston Duo Indicted For Fraud" - States News Service
"EU Slaps $1.53 Billion Fine on Alleged Gas Cartel --- Case Against
French, German Energy Giants Underlines Effort to Force Open
Energy GDF Suez SA Antitrust Competition; Trying to 'Unbundle' Trade" - The Wall Street Journal
"EU Ends Antitrust Case Against GDF Suez; No Fine" - Dow Jones
Energy GDF Suez SA Antitrust International News
"SEC Charges Geotec, Inc. and Three Individuals in Connection
with False Filings and Accounting Improprieties" - www.SEC.gov
Link to SEC Complaint -
Energy Geotec Inc. Disclosure Fraud through Financial Reports http://www.sec.gov/litigation/complaints/2009/comp21116.pdf
"Helmerich & Payne Agrees to Pay $1 Million Penalty to Resolve
Energy Helmerich & Payne Inc. Payments to Government Officials Allegations of Foreign Bribery in South America" - www.USDOJ.gov
Disclosure Fraud through Mediums
Money Laundering
Securities fraud "Former Owner Of Oil-And-Gas Company Indicted In Multi-Million-
Energy Mid America Energy Inc. Wire Fraud Dollar Investment Scheme" - States News Service
"SEC Charges Two Former Finance Executives Of Newpark
Resources, Inc. And Principal Of Key Newpark Vendor In
Manipulation of Related Party Receivables Fraudulent Accounting Scheme" - www.SEC.gov
Misappropriation of Inventory
Sham Transactions - Related Party or Trial / Link to SEC Complaint -
Energy Newpark Resource Inc. Evaluation Products and Other http://www.sec.gov/litigation/complaints/2009/comp21137.pdf
"SEC Charges Former Officer Of Pride International With Violating
The Foreign Corrupt Practices Act" - www.SEC.gov
Link to SEC Complaint -
Energy Pride International Inc. Payments to Government Officials http://www.sec.gov/litigation/complaints/2009/comp21335.pdf
Energy Regal Petroleum PLC Disclosure Fraud through Mediums "Regal Hit With Fine Over Oil Claims" - The Wall Street Journal
Creation of fictitious vendors by an employee or using "Former Shell Oil Executive Sentenced To 18 Months'
shell companies Imprisonment For Income Tax Evasion And Mail Fraud" - Former
Tax Fraud Shell Oil Executive Sentenced To 18 Months' Imprisonment For
Energy Royal Dutch Shell PLC Wire Fraud Income Tax Evasion And Mail Fraud
Manipulation of Related Party Receivables
Energy SRM International Inc. Wire Fraud "Former Loan Broker Pleads Guilty" - States News Service
Disclosure Fraud through Mediums "Oil And Gas Geologist Pleads Guilty To Role In Million Dollar
Energy Target Oil and Gas Inc. Wire Fraud Fraud Conspiracy" - US Fed News
Sector Company Scheme(s) Reference
"Securities and Exchange Commission v. Robert L. Hollier and
Wayne A. Dupuis, Civil Action No. 6:09-cv-00928 (W.D. La. June 8,
2009)" - www.SEC.gov
Link to SEC Complaint -
Energy Warrior Energy Services Corp. Insider Trading http://www.sec.gov/litigation/complaints/2009/comp21072.pdf
Expense Report Schemes "Energy Dept.: SC's Savannah River Site contractor whitewashed
Energy Washington Savannah River Company Fraud Against the Government or Customers audit to justify expenses in '07" - Associated Press Newswires
"EU fines firms for fixing power-equipment prices" - The Wall Street
Engineering & Construction ABB Ltd. Antitrust Journal Europe
"EU fines firms for fixing power-equipment prices" - The Wall Street
Engineering & Construction Alstom SA Antitrust Journal Europe
Disbursement of company funds including the
issuance of false credits or refunds or rebates and "U.S. Recovers $19 Million from AMEC Construction Management
bribes to legitimate vendors for which the employee to Settle Litigation Regarding Fraud, False Claims, Kickbacks & Re-
receives a kickback Procurement Costs on Federal Construction Contracts" -
Engineering & Construction AMEC Construction Management Inc. Fraud Against the Government or Customers www.USDOJ.gov
"United States Settles False Claims Act Allegations Against
Engineering & Construction Beazer Homes USA Inc. Fraud Against the Government or Customers National Home Builder and Mortgage Lender" - www.USDOJ.gov
"Beazer CEO could face government 'claw back' of incentive
compensation; SEC urges civil action" - Associated Press
Engineering & Construction Beazer Homes USA Inc. Unauthorized Compensation Newswires
Commercial Bribery "Department of Justice Seeks to Recover Approximately $3 Million
Money Laundering in Illegal Proceeds from Foreign Bribe Payments" -
Engineering & Construction China Harbor Engineering Company Ltd. Payments to Government Officials www.USDOJ.gov
Conflicts of Interest
Related Party Transactions "Construction Project Manager Pleads Guilty To Mail Fraud And
Engineering & Construction CJL Contractors LLC Wire Fraud Money Laundering" - States News Service
Commercial Bribery "Government Contractor Sentenced to 30 Months in Prison on
Engineering & Construction Daniel Construction Fraud Against the Government or Customers Bribery Charges" - www.USDOJ.gov
"Cleveland Contractor Charged With Bribing Public Officials" - US
Engineering & Construction DAS Construction Company Illegal Political Contributions Fed News
"SEC Charges KBR, Inc. with Foreign Bribery; Charges Halliburton
Co. and KBR, Inc. with Related Accounting Violations —
Companies to Pay Disgorgement of $177 Million; KBR Subsidiary
to Pay Criminal Fines of $402 Million; Total Payments to be $579
Million" - www.SEC.gov
Link to SEC Complaint -
Engineering & Construction Halliburton Co. Payments to Government Officials http://www.sec.gov/litigation/complaints/2009/comp20897.pdf
"SEC Charges Hurricane Restoration Company and Executives In
Disclosure Fraud through Mediums Post-Katrina Accounting Fraud; Four Individuals Settle" -
Insider Trading www.SEC.gov
Recording Fictitious Transactions
Related Party Transactions Link to SEC Complaint -
Engineering & Construction Home Solutions of America Inc. Worker's Compensation Fraud http://www.sec.gov/litigation/complaints/2009/comp21314.pdf
Sector Company Scheme(s) Reference
Fraud Against the Government or Customers
Misappropriation of Fixed Assets
Over-billing schemes "$1 Million Theft Charges at Troubled Demolition Project " - The
Engineering & Construction John Galt Corp. Personal purchases New York Times
Engineering & Construction Kaz Paving Company Wire Fraud "Paving Company Charged In Wire Fraud" - US Fed News
"Former Military Contractor Sentenced for Participating in Scheme
to Steal Large Quantities of Fuel from U.S. Army in Afghanistan" -
Engineering & Construction KBR Inc. (aka Kellogg, Brown & Root Inc.) Commercial Bribery www.USDOJ.gov
Falsified Wages or Commissions
Theft of Checks "Judy Lyon Hammack Pleads Guilty In U.S. Federal Court" - US
Engineering & Construction Nielsen Masonry Theft of Company Checks and Check Tampering Fed News
"Virginia Resident Pleads Guilty to Bribing Panamanian Officials for
Engineering & Construction Ports Engineering Consultants Corp. Payments to Government Officials Maritime Contract" - www.USDOJ.gov
Money Laundering "Bribery suspect's family arrested in Greece" - Associated Press
Engineering & Construction Siemens AG Payments to Government Officials Newswires
Creation of fictitious vendors by an employee or using
shell companies
Money Laundering "Chief Financial Officer Sentenced To Federal Prison" - US Fed
Engineering & Construction Tidewater Contractors Inc. Wire Fraud News
"SEC Files Settled Enforcement Action against Three Former
Managers at Cablevision Systems Corporation in Connection with
Improper Recognition of Expenses" - www.SEC.gov
Link to SEC Complaint -
Entertainment and Media Cablevision Systems Corp. Recording Expenses as Prepaid Expenses http://www.sec.gov/litigation/complaints/2009/comp20862.pdf
Disbursement of company funds including the
issuance of false credits or refunds or rebates and
bribes to legitimate vendors for which the employee "Burbank Man Sentenced To Eight Years In Federal Prison For
receives a kickback Laundering Proceeds Related To Health Care Fraud" - US Fed
Entertainment and Media Contact Weekly Money Laundering News
"Former Controller Charged in $2.6 Million Theft" - Connecticut
Entertainment and Media Expand International of America Wire Fraud Post (MCT)
Failure to Pay Taxes "Former Chief Financial Officer Sentenced For Tax Evasion" - US
Entertainment and Media Florida Design Inc. Theft of Company Checks and Check Tampering Fed News
"Ex-bookkeeper in Eugene accused of stealing $1.5M" - Associated
Entertainment and Media IP/Koke Printing Company Theft of Company Checks and Check Tampering Press Newswires
"Chicago Advertising Firm Pays United States $15.5 Million to
Entertainment and Media Leo Burnett Company Fraud Against the Government or Customers Settle Overbilling Allegations on Army Contract" - www.USDOj.gov
"Thomson Reuters Faces An EU Probe Of Data Codes" - The Wall
Entertainment and Media Thomson Reuters Corp. Antitrust Street Journal
Money Laundering
Over-billing schemes
Related Party Transactions "Former USA Drug Vice President And Two Relatives Indicted On
Entertainment and Media USA Drug Wire Fraud Mail Fraud And Money Laundering Charges" - State News Service
Sector Company Scheme(s) Reference
"SEC Files Settled Charges Against Avery Dennison Corporation
For Violating The Books And Records And Internal Controls
Provisions Of The Foreign Corrupt Practices Act" - www.SEC.gov
Link to SEC Complaint -
Forest and Paper Avery Dennison Corp. Payments to Government Officials http://www.sec.gov/litigation/complaints/2009/comp21156.pdf
Disclosure Fraud through Mediums "Securities and Exchange Commission Charges Forest Resources
Forest and Paper Forest Resources Management Corp. Securities fraud Management Corp. with Fraud" - www.SEC.gov
Failure to Pay Taxes
Personal purchases "Former Chief Financial Officer Sentenced To Eight Years In
Theft of Checks Federal Prison For Multi-Million Dollar Embezzlement" - States
Forest and Paper Marian Gardens Tree Farm Wire Fraud News Service
"Former Chief Financial Officer Of Local Museum Indicted,
Arraigned In Connection With Allegedly Stealing Over $1.3 Million
Fruitlands Museum Education/Not for Profit Personal purchases From Former Employer" - States News Service
"Former Military Official Pleads Guilty to Participating in Bribery
Conspiracy Involving $206 Million Telecommunications Contract in
Government Army and Air Force Exchange Service Commercial Bribery Korea" - www.USDOJ.gov
Conflicts of Interest
Failure to Pay Taxes "Former Bureau Of Land Management Employee Indicted For
Government Bureau Of Land Management Wire Fraud Public Corruption" - US Fed News
Fraud Against the Government or Customers "Ex-SC official charged with embezzling millions" - Associated
Government Department of Social Services Wire Fraud Press Newswires
Conflicts of Interest
Fraud Against the Government or Customers "Veterans Affairs Official to Plead Guilty to Conspiracy and Wire
Government Department of Veterans Affairs Wire Fraud Fraud" - www.USDOJ.gov
"Former Employee of the Export-Import Bank of the United States
Government Export-Import Bank Payments to Government Officials Charged with Corruption and Tax Violations" - www.USDOJ.gov
Creation of Fictitious Vendors by an Employee or
Using Shell Companies "Former Federal Employee Pleads Guilty To Embezzling $600,000" -
Government General Services Administration Recording False Refunds US Fed News
Falsified Sales or Hours "Former HANO Chief Financial Officer Pleads Guilty To $900,000
Government Housing Authority of New Orleans Fictitious Employees Theft" - US Fed News
"Former Baltimore Mta Employee Pleads Guilty To Stealing
Government Maryland Transit Administration Wire Fraud $400,000 From Bus Fare Boxes" - States News Service
"NASA Scientist Pleads Guilty To Participating In Award Of
Government NASA Conflicts of Interest Contracts To His Wife" - Department of Justice Documents
National Archives and Records "Former National Archives Employee Pleads Guilty to Conflict of
Government Administration Conflicts of Interest Interest" - www.USDOJ.gov
Prince William Office of Information "Alleged Scam Gets 3 Fired in Pr. William; $9 Million in Contracts
Government Technology Antitrust Probed; FBI Involved" - The Washington Post
Government Securities and Exchange Commission Insider Trading "Insider Trading Probe at SEC" - The Wall Street Journal
"Brown Charges State Bar Employee With Embezzlement, Filing
Government State Bar of California Theft of Checks False Tax Returns" - US Fed News
"Former U.S. Forest Service Employee Sentenced To 18 Months In
Prison For Defrauding Agency Of $282,134 In Overtime Claims" -
Government United States Forest Service Falsified Wages or Commissions States News Service
Sector Company Scheme(s) Reference
"Charges Filed Against Wellcare Health Plans, Inc.; Wellcare
Enters Into Deferred Prosecution Agreement, Agrees To Pay $80
Healthcare Payers Wellcare Health Plans Inc. Fraud Against the Government or Customers Million In Restitution And Forfeiture" - States News Service
Fraud Against the Government or Customers "Sisters Who Operated Fraudulent Medicare And Medicaid
Healthcare Providers AA Better Medical Supply Money Laundering Companies Sentenced To Prison"- States News Service
Fraud Against the Government or Customers "Brown Arrests Former Healthcare Clinic Manager For $2.2 Million
Healthcare Providers Alpine Healthcare Clinic Personal purchases Medi-Cal Rip-Off" - States News Service
"Trial set for Neb. executive accused of stealing from company's
Healthcare Providers AMS Healthcare Services Inc. Wire Fraud 401(k) plans" - Associated Press Newswires
"Former Assisted Living Facility Owner Sentenced For Theft From
Healthcare Providers C&J Peaceful Living Assisted Living Facility Theft of Checks Elderly Resident" - US Fed News
Fraud Against the Government or Customers "Detroit-Area Rehabilition Facility Executive Pleads Guilty To $18.2
Healthcare Providers Continental Rehab Services Inc, Money Laundering Million Medicare Fraud Scheme" - www.USDOJ.gov
Fraud Against the Government or Customers "Iowa hospital pays $4.5 million to settle claims of fraudulent
Healthcare Providers Covenant Medical Center Unauthorized Compensation Medicare payments to doctors" - Associated Press Newswires
Disbursement of company funds including the
issuance of false credits or refunds or rebates and "Harborside Healthcare to Pay U.S. $1.375 Million to Resolve
bribes to legitimate vendors for which the employee Allegations of Kickbacks and Sham Durable Medical Services" -
Healthcare Providers Harborside Healthcare receives a kickback www.USDOJ.gov
HCA Inc. (aka Hospital Corporation of "SEC Probing Biggest Hospital Company; Nursing Shifts Examined
Healthcare Providers America) Falsified Sales or Hours in HCA's London Unit" - The Washington Post
"Minnesota Hospitals to Pay U.S. $2.28 Million to Settle False
Healthcare Providers HealthEast Care System Fraud Against the Government or Customers Claims Act Allegations" - www.USDOJ.gov
"Department Of Justice To Intervene In Whistleblower Case" - US
Healthcare Providers Hospice Home Care Inc. Fraud Against the Government or Customers Fed News
"Hospital Employee Sentenced For Stealing Patient Information For
Healthcare Providers Johns Hopkins Medicine Misappropriation of Intellectual Property Fraud Scheme" - US Fed News
"Oregon Hospice Pays U.S. $1.83 Million to Settle False Claims Act
Healthcare Providers Kaiser Foundation Hospitals Fraud Against the Government or Customers Liability" - www.USDOJ.gov
Aiding & Abetting
Disbursement of company funds including the
issuance of false credits or refunds or rebates and
bribes to legitimate vendors for which the employee "Los Angeles' Kerlan Jobe Orthopaedic Clinic Pays $3 Million To
Healthcare Providers Kerlan Jobe Orthopaedic Clinic receives a kickback Settle Kickback Allegations" - www.USDOJ.gov
Fraud Against the Government or Customers
Money Laundering "Desoto Doctor, His Wife And Three Companies Are Sentenced" -
Healthcare Providers Missouri Physician Home Services Inc. Related Party Transactions States News Service
Our Lady of Lourdes Health Care Services "Parent Company of Two New Jersey Hospitals to Pay U.S. $7.95
Healthcare Providers Inc. Fraud Against the Government or Customers Million to Settle False Claims Act Allegations" - www.USDOJ.gov
"Pediatrix Medical Group Settles Charges of Stock Option
Backdating" - www.SEC.gov
Link to SEC Complaint -
Healthcare Providers Pediatrix Medical Group Inc. Backdating of Options http://www.sec.gov/litigation/complaints/2009/comp20927.pdf
Creation of fictitious vendors by an employee or using
shell companies "Former Hospital Administrator Pleads Guilty To Defrauding
Healthcare Providers Queen’s Medical Center Wire Fraud Hospital" - States News Service
Sector Company Scheme(s) Reference
"Texas-Based Regency Nursing and Rehabilitation Centers to Pay
Regency Nursing and Rehabilitation U.S. $4 Million to Resolve False Claims Act Allegations" -
Healthcare Providers Centers Inc. Fraud Against the Government or Customers www.USDOJ.gov
"USVI judge tightens bail conditions for ex-CEO" - Associated
Healthcare Providers Schneider Regional Medical Center Unauthorized Compensation Press Newswires
"Alabama-Based Hospice Company Pays U.S. $24.7 Million to
Healthcare Providers SouthernCare Inc. Fraud Against the Government or Customers Settle Health Care Fraud Claims" - www.USDOJ.gov
"Oklahoma Hospital Group Pays U.S. $13 Million to Settle False
Healthcare Providers St. John Health System Fraud Against the Government or Customers Claims Act Allegations" - www.USDOJ.gov
Business Expenses Fraud "Securities and Exchange Commission v. Jerry F. Wells, Jr., Civil
Disclosure Fraud through Financial Reports Action No. 3:09-CV-01792-MJP (D. S.C. July 6, 2009)" -
Improper Capitalization of Expenses as Costs of Fixed www.SEC.gov
Assets
Personal purchases Link to SEC Complaint -
Healthcare Providers UCI Medical Affiliates Inc. Theft of Company Checks and Check Tampering http://www.sec.gov/litigation/complaints/2009/comp21119.pdf
Fraud Against the Government or Customers "Texas Hospital Group Pays U.S. $27.5 Million To Settle False
Healthcare Providers Universal Health Services Inc. Improper Fund Trading Arrangements Not Disclosed Claims Act Allegations" - www.USDOJ.gov
"Sen. Grassley investigating surgeon who Army says wrote bogus
Healthcare Providers Walter Reed Medical Center Conflicts of Interest study of Medtronic graft" - Associated Press Newswires
"SEC Charges California-Based Hedge Fund Manager For
Operating Ponzi-Like Scheme" - www.SEC.gov
Link to SEC Complaint -
Hedge Fund Advanced Money Management Inc. Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21101.pdf
"SEC Charges Silicon Valley Hedge Fund Manager With Multi-
Million Dollar Offering Fraud" - www.SEC.gov
Disclosure Fraud through Financial Reports
Improper Use of Fiduciary Funds Link to SEC Complaint -
Hedge Fund Asenqua Inc. Securities fraud http://www.sec.gov/litigation/complaints/2009/comp20962.pdf
"U.K. Investigates Hedge-Fund Group --- Move Underscores
Dynamic Decisions Growth Premium Serious Fraud Office's Growing Interest in Investment Industry" -
Hedge Fund Master Fund Ltd. Securities fraud The Wall Street Journal
"CFTC Sanctions Hedge Fund EMF Financial Products, $4 Million
To Settle Cftc Charges That EMF Made False Statements
Concerning Its Market Positions To Chicago Board Of Trade " - US
Hedge Fund EMF Financial Products LLC Disclosure Fraud through Mediums Fed News
"SEC Charges Hedge Fund Managers Grant Ivan Grieve, Finvest
Asset Management, LLC, and Finvest Fund Management, LLC with
Securities Fraud" - www.SEC.gov
Disclosure Fraud through Financial Reports
Disclosure Fraud through Mediums Link to SEC Complaint -
Hedge Fund Finvest Asset Management LLC Securities fraud http://www.sec.gov/litigation/complaints/2009/comp20893.pdf
Aiding & Abetting
Conflicts of Interest
Hedge Fund Gabriel Capital Corp. Disclosure Fraud through Mediums "Financier Charged In Madoff Fraud" - The Wall Street Journal
Sector Company Scheme(s) Reference
"SEC Charges Billionaire Hedge Fund Manager Raj Rajaratnam
with Insider Trading" - www.SEC.gov
Link to SEC Complaint -
http://www.sec.gov/litigation/complaints/2009/comp21255.pdf
Link to Department of Justice Complaint -
http://www.usdoj.gov/usao/nys/hedgefund/rajaratnamrajetalcomplai
nt.pdf
Link to Department of Justice Complaint -
Galleon Group (aka Galleon Management http://www.usdoj.gov/usao/nys/hedgefund/chiesidanielleetalcomplai
Hedge Fund LP) Insider Trading nt.pdf
Hedge Fund Harley International Aiding & Abetting "Madoff Case Suits Seek $6.1 Billion" - The New York Times
Aiding & Abetting
Conflicts of Interest "SEC Charges Former State Political Party Leader and Hedge Fund
Disbursement of company funds including the Manager in Kickback Scheme Involving New York Pension Fund" -
issuance of false credits or refunds or rebates and www.SEC.gov
bribes to legitimate vendors for which the employee
receives a kickback Link to SEC Complaint -
Hedge Fund HFV Management LP Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21001.pdf
"SEC Charges Seven Church Leaders in Fraudulent Investment
Scheme that Targeted Parishioners" - www.SEC.gov
Disclosure Fraud through Mediums Link to SEC Complaint -
Hedge Fund Jadis Capital Inc. Securities fraud http://www.sec.gov/litigation/complaints/2009/comp20998.pdf
"Securities and Exchange Commission Charges Hedge Fund
Employees and Brokers with Bribery Scheme" - www.SEC.gov
Commercial Bribery Link to SEC Complaint -
Hedge Fund JLF Asset Management LLC Conflicts of Interest http://www.sec.gov/litigation/complaints/2009/comp20948.pdf
"SEC Freezes Assets Of Illinois-Based Hedge Fund Manager Who
Was $2 Billion Feeder To Ponzi Scheme" - www.SEC.gov
Aiding & Abetting
Round-trip Transactions Link to SEC Complaint -
Hedge Fund Lancelot Investment Management LLC Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21124.pdf
"Former Head Securities Trader for Lancer Group Hedge Funds
Securities fraud Pleads Guilty to Conspiracy to Commit Mail, Wire and Securities
Hedge Fund Lancer Group Wire Fraud Fraud" - www.USDOJ.gov
"SEC Files First Credit Default Swap Insider Trading Case" -
Hedge Fund Millennium Partners LP Insider Trading www.SEC.gov
"Hedge Fund Manager and New Castle, LLC Employee Indicted in
Galleon Insider Trading Case" - PR Newswire
Insider Trading Link to Indictment - http://newsroom.law360.com/articlefiles/139643-
Hedge Fund New Castle Funds LLC Securities fraud Rajaratnam,_Raj,_and_Chiesi,_Danielle_Indictment.pdf
"Hedge-Fund Manager Investigated For Fraud" - The Wall Street
Hedge Fund NIR Group Securities fraud Journal
Sector Company Scheme(s) Reference
"SEC Obtains Emergency Asset Freeze To Halt $30 Million "Fund
Of Funds" Investment Scheme" - www.SEC.gov
Disclosure Fraud through Mediums Link to SEC Complaint -
Hedge Fund North Hills Management LLC Securities fraud http://www.sec.gov/litigation/complaints/2009/comp20913.pdf
"SEC Halts On-Going Multi-Million Dollar Ponzi Scheme and Affinity
Fraud Involving Investments in a Canadian-Based Hedge Fun" -
www.SEC.gov
Link to SEC Complaint -
Hedge Fund Oversea Chinese Fund Limited Partnership Securities fraud http://www.sec.gov/litigation/complaints/2009/comp20988.pdf
"SEC Obtains Emergency Relief in Minnesota Hedge Fund Fraud
Case" - www.SEC.gov
Link to SEC Complaint -
Hedge Fund Paramount Partner LP Disclosure Fraud through Financial Reports http://www.sec.gov/litigation/complaints/2009/comp20907.pdf
"SEC Reopens Probe Of Trading at Pequot" - The Wall Street
Hedge Fund Pequot Capital Management Inc. Insider Trading Journal
"SEC Charges Perry Corp. With Disclosure Violations in Vote
Buying Scheme" - www.SEC.gov
Link to SEC Administrative Proceedings -
Hedge Fund Perry Capital (aka Perry Corp.) Disclosure Fraud through Mediums http://www.sec.gov/litigation/admin/2009/34-60351.pdf
"SEC Halts On-Going Multi-Million Dollar Fraud Involving
Investments in a Connecticut-Based Hedge Fund" - www.SEC.gov
Link to SEC Complaint -
Hedge Fund Ponta Negra Group LLC Disclosure Fraud through Financial Reports http://www.sec.gov/litigation/complaints/2009/comp21012.pdf
"SEC Halts Beverly Hills Hedge Fund Fraud" - www.SEC.gov
Link to SEC Complaint -
Hedge Fund Ruderman Capital Management LLC Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21017.pdf
"Probe Widening in Galleon Case; Prosecutors Subpoena Hedge-
Fund Manager Grodin; Ties to a Witness" - The Wall Street Journal
Hedge Fund SAC Capital Advisors LP Insider Trading Online
"Securities and Exchange Commission v. Arthur Nadel, et al.,(U.S.
District Court for the Middle District of Florida, Civil Action No. 8:09-
CV-00087-RAL-TBM filed January 21, 2009)" - www.SEC.gov
Link to SEC Complaint -
Hedge Fund Scoop Management Inc. Disclosure Fraud through Financial Reports http://www.sec.gov/litigation/complaints/2009/comp20858.pdf
"Two arrested in dawn raids linked to failed hedge fund: SFO looks
Improper Investment Valuation into deals done by Weavering Capital: Investigation centres on
Hedge Fund Weavering Capital Ltd. Related Party Transactions interest rate swaps" - The Guardian
"Former Accounting Manager For Historic Savannah Foundation
Historic Savannah Foundation Education/Not for Profit Theft of Checks Pleads Guilty To Fraud" - US Fed News
Sector Company Scheme(s) Reference
"Former Marriott Director Of Finance Charged With Wire Fraud
Hospitality & Leisure Marriott International Inc. Wire Fraud Involving Two-Million-Dollar Theft" - US Fed News
"SEC Charges Two Individuals With Illegal Insider Trading in
Hospitality & Leisure Shuffle Master Inc. Insider Trading Advance of Negative News" - www.SEC.gov
"Dallas Restaurant Owner Sentenced To 14 Months In Federal
Prison On Fraud And False Statement Conviction" - States News
Hospitality & Leisure Taqueria El Paisano Failure to Pay Taxes Service
"SEC Charges West Marine With Falsifying Its Financials" -
www.SEC.gov
Capitalization of Operating Expenses (as Assets or Link to SEC Complaint -
Hospitality & Leisure West Marine Inc. Contra Liabilities) http://www.sec.gov/litigation/complaints/2009/comp21150.pdf
"SEC Files Settled Insider Trading Action Against a Former ACR
Group, Inc. Employee" - www.SEC.gov
Link to SEC Complaint -
Industrial Products ACR Group Inc. Insider Trading http://www.sec.gov/litigation/complaints/2009/comp20953.pdf
"SEC Files Settled Books and Records and Internal Controls
Charges Against AGCO Corporation For Improper Payments to Iraq
Under the U.N. Oil for Food Program — AGCO Agrees to Pay Over
Disbursement of company funds including the $18.3 Million in Disgorgement, Interest, and Penalties" -
issuance of false credits or refunds or rebates and www.SEC.gov
bribes to legitimate vendors for which the employee
receives a kickback Link to SEC Complaint -
Industrial Products AGCO Corporation Payments to Government Officials http://www.sec.gov/litigation/complaints/2009/comp21229.pdf
"2nd O.C. exec admits bribing foreign officials; Ex-finance director
of valve maker Control Components had been accused of handing
Industrial Products Control Components Inc. Payments to Government Officials out $600,000 to clients" - Los Angeles Times
Antitrust
Disbursement of company funds including the
issuance of false credits or refunds or rebates and
bribes to legitimate vendors for which the employee
receives a kickback "N.J. Industrial Pipes Supply Company and Its Co-Owner Plead
Industrial Products National Industrial Supply LLC Fraud Against the Government or Customers Guilty to Fraud at Two N.J. Superfund Sites" - www.USDOJ.gov
"Morgan Hill Man Sentenced For Possession Of Stolen Trade
Industrial Products Phillips Lumileds Light Co. Misappropriation of Intellectual Property Secrets" - States News Service
"PowerCold Corporation and Its Executives Francis L. Simola,
Joseph C. Cahill and Grayling R. Hofer Agree To Settle SEC
Actions Charging Them With Fraudulent Revenue Recognition;
Relief Includes Deregistration, Officer-and-Director Bars, Penalties,
and a Bar From Practicing Before the Commission" - www.SEC.gov
Link to SEC Complaint -
Industrial Products PowerCold Corp. Recording Fictitious Transactions http://www.sec.gov/litigation/complaints/2009/comp20945.pdf
Sector Company Scheme(s) Reference
"SEC Charges Two Former Finance Executives Of Newpark
Resources, Inc. And Principal Of Key Newpark Vendor In
Aiding & Abetting Fraudulent Accounting Scheme" - www.SEC.gov
Recording Fictitious Transactions
Sham Transactions - Related Party or Trial / Link to SEC Complaint -
Industrial Products Quality Mat Company Evaluation Products and Other http://www.sec.gov/litigation/complaints/2009/comp21137.pdf
"Subsidiaries of Swedish Company, Trelleborg AB, Agree to Plead
Guilty and Pay $11 Million in Criminal Fines; Virginia Harbor
Services Inc. of Clearbrook, Va., and Trelleborg Industrie S.A.S. of
Industrial Products Trelleborg AB Antitrust France Agree to Plead Guilty" - www.USDOJ.gov
Antitrust
Fraud Against the Government or Customers "Illinois Refuse Container Repair Company Executives Indicted in
Industrial Products Urban Services of America Inc. Wire Fraud Conspiracy to Defraud the City of Chicago" - www.USDOJ.gov
"Policyholders' data leaked likely by outsource employees: Alico" -
Insurance Alico Japan Misappropriation of Intellectual Property Kyodo News
"SEC Charges Bancinsurance Corporation and its Senior Executive
Fraudulent Estimates of Inadequate Reserves or with Securities Fraud" - www.SEC.gov
Failure to Adequately Recognize Bad Debts or
Impairment of Receivables Link to SEC Complaint -
Insurance Bancinsurance Corp. Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21300.pdf
Antitrust "Attorney General Martha Coakley Reaches $239,011 Settlement
Insurance Chubb Corp. Conflicts of Interest With Chubb Insurance Company" - States News Service
Disclosure Fraud through Financial Reports
Disclosure Fraud through Mediums "Former Executives Indicted On Charges Of Conspiracy, Securities
Insurance Conversion Solutions Holdings Corp. Securities fraud Fraud Related To Artificial Stock Inflation" - US Fed News
"Insurance Commissioner Poizner Announces Conviction Of Porter
Insurance EZ Discount Insurance Services Inc. Improper Use of Fiduciary Funds Ranch Man On Felony Theft, Forgery Charges" - US Fed News
"Former Director Of Fidelity National Financial Settles SEC Insider
Insurance Fidelity National Financial Inc. Insider Trading Trading Case" - www.SEC.gov
Money Laundering "Woman pleads guilty to Genworth Financial thefts" - The News &
Insurance Genworth Financial Inc. Wire Fraud Advance (MCT)
"Federal jury convicts Alabama insurance executive Goff of
Insurance Goff Group Wire Fraud embezzling millions of dollars" - Associated Press Newswires
Check Kiting "Owners Of Guaranty Title Indicted For $2.6 Million Bank Fraud,
Money Laundering Wire Fraud, Money Laundering Conspiracies" - States News
Insurance Guaranty Title and Closing Company Wire Fraud Service
"SEC Charges Five Individuals With Insider Trading In Connection
With Safeco Corp.'s Merger Announcement; Three Defendants
Agree to Settlements Including Permanent Injunctions and
Payment of Disgorgement and Civil Penalties Totaling Over
$417,000" - www.SEC.gov
Link to SEC Complaint -
Insurance Hartford Financial Services Group Inc. Insider Trading http://www.sec.gov/litigation/complaints/2009/comp21133-talbot.pdf
Sector Company Scheme(s) Reference
"Attorney General Coakley's Office Sues Kilgore Insurance Agency
For Charging Undisclosed Fees Misrepresenting Premiums" - US
Insurance Kilgore Insurance Agency Falsified Wages or Commissions Fed News
"Former Swisslife CFO accused of embezzlement" - Associated
Insurance Swiss Life Holding AG Securities fraud Press Newswires
"Attorney General Mccollum Presents Over $350,000 In Settlement
Insurance Willis Group Holdings Inc. Unauthorized Compensation Funds To Central Florida Public Entities" - US Fed News
Money Laundering
Securities fraud "Omaha man indicted on 21 federal fraud charges" - Associated
Investment Management 21st Century Financial Group Wire Fraud Press Newswires
"SEC Halts Texas Financial Advisor's Fraudulent Scheme" -
www.SEC.gov
Link to SEC Complaint -
Investment Management 2Randall Consulting Group LLC Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21173.pdf
"SEC Halts Multi-Million Dollar Fraud Conducted By Philadelphia-
Area Investment Adviser" - www.SEC.gov
Link to SEC Complaint -
Investment Management Acorn Capital Management LLC Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21006.pdf
"SEC Charges New York-Based Investment Adviser for Stealing
Client Funds" - www.SEC.gov
Link to SEC Complaint -
Investment Management AFW Wealth Advisors Improper Use of Fiduciary Funds http://www.sec.gov/litigation/complaints/2009/comp21078.pdf
"Long Island Investment Firm Owner Charged With Fraud" - Dow
Investment Management Agape World Inc. Wire Fraud Jones News Service
"SEC Charges Ameriprise in Fraudulent Scheme to Obtain
Undisclosed Compensation" - www.SEC.gov
Ameriprise Financial Services, Inc. (aka Conflicts of Interest Link to SEC Administrative Proceedings -
Investment Management American Express Financial Advisors Inc.) Unauthorized Compensation http://www.sec.gov/litigation/admin/2009/33-9051.pdf
Ameriprise Financial Services, Inc. (aka
Investment Management American Express Financial Advisors Inc.) Wire Fraud "Cape man accused in $350,000 swindle" - Cape Cod Times (MCT)
"Securities and Exchange Commission v. Aura Financial Services,
Inc., Ronald E. Hardy, Jr., Peter C. Dunne, Qais R. Bhavnagari,
Dipin Malla, Sandeep Singh, and Raymond Rapaglia, Civil Action
No. 09-21592-CV-Moreno (S.D.Fl. June 11, 2009)" - www.SEC.gov
Improper Use of Fiduciary Funds Link to SEC Complaint -
Investment Management Aura Financial Services Inc. Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21081.pdf
Sector Company Scheme(s) Reference
"SEC Sues 6 Specialist Firms For Unlawful Proprietary Trading On
The Chicago Stock Exchange; Firms Agree To Pay More Than $42
Million In Disgorgement And Civil Penalties" - www.SEC.gov
Improper Fund Trading Arrangements Not Disclosed Link to SEC Complaint -
Investment Management Automated Trading Desk Specialists LLC Securities fraud http://www.sec.gov/litigation/complaints/2009/comp20922-atds.pdf
Improper Use of Fiduciary Funds
Securities fraud "Former Investment Broker Pleads Guilty To Defrauding Clients,
Investment Management Barton Asset Management LLC Wire Fraud Including Elderly Alzheimer's Patient" - US Fed News
Fictitious Investments "Thow arrest just a start, victim says; Bilked investors relieved
Investment Management Berkshire Investment Group Securities fraud manhunt is over; now they want justice" - Victoria Times Colonist
"Securities and Exchange Commission v. Billion Coupons, Inc. (aka
Billion Coupons Investment) and Marvin R. Cooper, Civil Action No.
CV 09-00068 JMS LEK (D. Haw.)" - www.SEC.gov
Link to SEC Complaint -
Investment Management Billion Coupons Inc. Securities fraud http://www.sec.gov/litigation/complaints/2009/comp20906.pdf
"SEC Charges Wall Street Professionals And Others With Insider
Trading" - www.SEC.gov
Link to SEC Complaint -
Investment Management Blackstone Advisory Services LP Insider Trading http://www.sec.gov/litigation/complaints/2009/comp20884.pdf
"Connecticut Investor Found Guilty in Massive Scheme to Bribe
Senior Government Officials in the Republic of Azerbaijan" -
Investment Management Bluepoint International Ltd. Payments to Government Officials www.USDOJ.gov
"SEC Charges Ezra C. Levy, Former CFO Of Investment Advisory
Firm, With Fraud And Seeks Order Freezing His Assets" -
Investment Management Boston Provident LP Securities fraud www.SEC,gov
"SEC Charges 14 Specialist Firms for Improper Proprietary
Trading" - www.SEC.gov
Improper Fund Trading Arrangements Not Disclosed Link to SEC Administrative Proceedings -
Investment Management Botta Capital Management LLC Securities fraud http://www.sec.gov/litigation/admin/2009/34-59501.pdf
"SEC Charges Ohio-Based Investment Advisers Robert Pinkas and
His Firm for Fraudulently Overstating Assets" - www.SEC.gov
Disclosure Fraud through Financial Reports
Improper Investment Valuation Link to SEC Complaint -
Investment Management Brantley Capital Management Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21178.pdf
SEC Charges Ten Brokers With Fraud Related To Mortgage
Backed Securities
Disclosure Fraud through Mediums > Link to SEC Complaint -
Investment Management Brookstreet Securities Corp. Improper Use of Fiduciary Funds http://www.sec.gov/litigation/complaints/2009/comp21061.pdf
Sector Company Scheme(s) Reference
"CFTC Charges North Carolina Foreign Currency Firm
CapitalStreet Financial LLC And Its Principal Sean F. Mescall With
Investment Management CapitalStreet Financial LLC Securities fraud Operating A $1.3 Million Forex Ponzi Scam" - States News Service
Antitrust
Disbursement of company funds including the
issuance of false credits or refunds or rebates and
bribes to legitimate vendors for which the employee
receives a kickback "Financial Products and Services Firm, Two Executives and One
Fraud Against the Government or Customers Former Executive Indicted for Roles in Conspiracies Involving
Investment Management CDR Financial Products Inc. Wire Fraud Proceeds of Municipal Bonds" - www.USDOJ.gov
"Attorney General Cuomo Brings Martin Act Fraud Case Against
Disclosure Fraud through Mediums Charles Schwab And Co. For Fraudulent Sales Of Auction Rate
Investment Management Charles Schwab & Co. Illegal Marketing Securities" - States News Service
"Temporary order against 2 Montana firms alleged to be involved in
Investment Management Cornerstone Financial Corp. Securities fraud securities fraud scheme" - Associated Press Newswires
"SEC Seeks Temporary Restraining Order To Halt Ponzi Scheme" -
www.SEC.gov
Link to SEC Complaint -
Investment Management CRE Capital Corp. Securities fraud http://www.sec.gov/litigation/complaints/2009/comp20853.pdf
Securities fraud "Minnesota Man Pleads Guilty To Running Ponzi Scheme" -
Investment Management Crossfire Trading LLC Wire Fraud www.USDOJ.gov
"SEC Charges Ohio Investment Adviser With Defrauding Elderly
Clients of $2.3 Million" - www.SEC.gov
Improper Use of Fiduciary Funds Link to SEC Complaint -
Investment Management Crossroads Financial Planning Inc. Securities fraud http://www.sec.gov/litigation/complaints/2009/comp20996.pdf
"Receiver Appointed and Assets Frozen In "Forex" Ponzi Scheme" -
www.SEC.gov
Link to SEC Complaint -
Investment Management CRW Management LP Securities fraud http://www.sec.gov/litigation/complaints/2009/comp20925.pdf
"Securities and Exchange Commission v. Shelby Dean Martin, D.
Martin Enterprises, Inc. and DM Ventures, LLC, 5:09-CV-22 (WD
N.C. March 6, 2009)" - www.SEC.gov
Link to SEC Complaint -
Investment Management D. Martin Enterprises Inc. Securities fraud http://www.sec.gov/litigation/complaints/2009/comp20935.pdf
"SEC Charges Northern California Man For Investment Scheme
Targeting Religious Community" - www.SEC.gov
Link to SEC Complaint -
Investment Management D.A. Souza Investments LLC Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21191.pdf
Aiding & Abetting
Disbursement of company funds including the
issuance of false credits or refunds or rebates and
bribes to legitimate vendors for which the employee "SEC Charges Los Angeles-Based "Finder" in Kickback Scheme
Investment Management DAV/Wetherly Financial LP receives a kickback Involving New York Pension Fund" - www.SEC.gov
Sector Company Scheme(s) Reference
"SEC Charges Promoters And Funds With Operating A Multi-Million
Dollar Ponzi Scheme In The United States And Mexico" -
www.SEC.gov
Link to SEC Complaint -
Investment Management Diversity Capital Investments Inc. Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21158.pdf
"SEC Obtains Emergency Relief To Halt Fraud Conducted By
Omaha, Nebraska Investment Adviser" - www.SEC.gov
Fraud Against the Government or Customers
Improper Use of Fiduciary Funds Link to SEC Complaint -
Investment Management Envision Investment Advisors LLC Wire Fraud http://www.sec.gov/litigation/complaints/2009/comp21113.pdf
"SEC Charges 14 Specialist Firms for Improper Proprietary
Trading" - www.SEC.gov
Improper Fund Trading Arrangements Not Disclosed Link to SEC Administrative Proceedings -
Investment Management Equitec Proprietary Markets LLC Securities fraud http://www.sec.gov/litigation/admin/2009/34-59502.pdf
"SEC Charges Two Northern California Residents in $40 Million
Ponzi Scheme" - www.SEC.gov
Equity Investment Management and Link to SEC Complaint -
Investment Management Trading Inc. Securities fraud http://www.sec.gov/litigation/complaints/2009/comp20943.pdf
"SEC Sues 6 Specialist Firms For Unlawful Proprietary Trading On
The Chicago Stock Exchange; Firms Agree To Pay More Than $42
Million In Disgorgement And Civil Penalties" - www.SEC.gov
Link to SEC Complaint -
Improper Fund Trading Arrangements Not Disclosed http://www.sec.gov/litigation/complaints/2009/comp20922-
Investment Management E-Trade Financial Corp. Securities fraud etrade.pdf
"SEC Charges Evergreen For Overvaluing Holdings In Mortgage-
Backed Securities, Making Selective Disclosures To Investors" -
www,SEC.gov
Evergreen Investment Management SEC Administrative Proceedings -
Investment Management Company LLC Improper Investment Valuation http://www.sec.gov/litigation/admin/2009/34-60059.pdf
"Ponzi Probe Snares Durham --- FBI Raids Two of Indiana
Related Party Transactions Businessman's Companies; 'Rise of the Super-Rich'" - The Wall
Investment Management Fair FInance Co. Securities fraud Street Journal
"SEC Charges Former Florida Stockbroker and Broker Dealer with
Disbursement of company funds including the Securities Fraud in $4.7 Million Market Manipulation and Kickback
issuance of false credits or refunds or rebates and Case" - www.SEC.gov
bribes to legitimate vendors for which the employee
receives a kickback Link to SEC Complaint -
Investment Management Fareri Financial Services Inc. Securities fraud http://www.sec.gov/litigation/complaints/2009/comp20931.pdf
"Two Linked To Inland Empire Investment Scam Taken Into
Custody After Being Charged In $23 Million Scheme" - US Fed
Investment Management Financial Solutions Securities fraud News
Sector Company Scheme(s) Reference
"SEC Charges Houston-Based Broker With Defrauding Florida
Municipalties" - www.SEC.gov
Link to SEC Complaint -
Investment Management First Allied Securities Inc. Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21355.pdf
"First New York Securities, Four of Its Former Traders Ordered To
Pay Over $436,000 For Covering Short Sales With Secondary
Investment Management First New York Securities LLC Securities fraud Offering Shares" - States News Service
"SEC Obtains Asset Freeze Of Florida-Based Investment Adviser
Defrauding Investors" - www.SEC.gov
Disclosure Fraud through Mediums
Founding Partners Capital Management Improper Use of Fiduciary Funds Link to SEC Complaint -
Investment Management Co. Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21010.pdf
"SEC Charges Registered Broker-Dealer, Its Unregistered Affiliate
and Two Individuals in Fraudulent Scheme to Pay Off Fictitious
Bonds With Tens Of Millions In Unauthorized Trading" -
Investment Management FTC Capital Markets Inc. Securities fraud www.SEC.gov
"Italian Regulator Targets 35 In Front-Running Probe" - Dow Jones
Investment Management Gartmore Investment Management Insider Trading International News
Disclosure Fraud through Mediums "SEC Obtains Emergency Asset Freeze to Halt Multimillion Dollar
Investment Management Gemini Fund I, LP Securities fraud Ponzi Scheme" - www.SEC.gov
Disclosure Fraud through Mediums "SEC Charges Registered Investment Adviser And Its Principal
Investment Management Gendreau & Associates Inc. Improper Use of Fiduciary Funds With Fraud And Breach Of Fiduciary Duty" - www.SEC.gov
"Securities and Exchange Commission v. Hartmut Theodor Rose
and James Patrick Reedy, Civ. Action No. 3:09-cv-00857-G (United
States District Court for the Northern District of Texas, Dallas
Division)" - www.SEC.gov
Disclosure Fraud through Mediums Link to SEC Complaint -
Investment Management Geo Securities Inc. Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21031.pdf
Disclosure Fraud through Financial Reports "Former Fugitive Investment Manager Luis Giro Pleads Guilty To
Investment Management Giro Investments Group Inc. Securities fraud Securities Fraud" - State News Service
"SEC Charges Broker For Repeatedly Disseminating Fake Press
Releases And Making Fraudulent Internet Postings" -
www.SEC.gov
Link to SEC Complaint -
Investment Management Global Arena Capital Corp. Disclosure Fraud through Mediums http://www.sec.gov/litigation/complaints/2009/comp21259.pdf
"SEC Charges 14 Specialist Firms for Improper Proprietary
Trading" - www.SEC.gov
Improper Fund Trading Arrangements Not Disclosed Link to SEC Administrative Proceedings -
Investment Management Group One Trading LP Securities fraud http://www.sec.gov/litigation/admin/2009/34-59503.pdf
Disclosure Fraud through Financial Reports
Failure to Pay Taxes
Securities fraud "Pittsgrove Man Pleads Guilty To Operating $1.9 Million Investment
Investment Management GunnAllen Financial Wire Fraud Fraud Scheme" - US Fed News
Sector Company Scheme(s) Reference
"Judge Finds Monmouth County Company Defrauded Investors Via
A Ponzi Scheme, Orders $7 Million To Be Paid In Restitution" - US
Investment Management Hankins Private Client Group LLC Securities fraud Fed News
Money Laundering
Securities fraud "Former CEO And CFO Of Hanover Corporation Indicted In $18
Investment Management Hanover Corp. LLC Wire Fraud Million Ponzi Scheme" - States News Service
"SEC Charges Options Traders and Broker-Dealers for "Naked"
Short Sale Rule Violations" - www.SEC.gov
Link to SEC Administrative Proceedings -
Investment Management Hazan Capital Management LLC Securities fraud http://www.sec.gov/litigation/admin/2009/34-60441.pdf
"SEC Shuts Down Illinois Money Manager's $40 Million Fraudulent
Scheme" - www.SEC.gov
Link to SEC Complaint -
Investment Management Hubadex Inc. Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21230.pdf
"SEC Obtains Asset Freeze Over Limited Partnership Managed By
Investment Management IFC Advisory Disclosure Fraud through Mediums Culver City Adviser" - www.SEC.gov
Securities fraud "Va. businessman gets 3 years in Ponzi scheme" - Associated
Investment Management International Fiduciary Corp. Wire Fraud Press Newswires
Disclosure Fraud through Mediums
Securities fraud "Wire Fraud Charges Filed Against Former J.C. Reed Vice
Investment Management J.C. Reed & Company Inc. Wire Fraud President, Portfolio Manager Barron A. Mathis" - Us Fed News
"FINRA settles additional ARS cases with 4 more companies" -
Investment Management Janney Montgomery Scott LLC Illegal Marketing Associated Press Newswires
"SEC Charges Joseph S. Forte For Conducting $50 Million Ponzi
Scheme" - www.SEC.gov
Disclosure Fraud through Financial Reports Link to SEC Complaint -
Investment Management Joseph Forte LP Securities fraud http://www.sec.gov/litigation/complaints/2009/comp20847.pdf
Securities fraud "Forest Lake Man Sentenced For His Role In $30 Million
Investment Management Joshua Tree Group Wire Fraud Investment Scheme" - US Fed News
"Kabu.com e-mail made insider-trading deal possible" - Daily
Investment Management Kabu.com Securities Co. Insider Trading Yomiuri
"SEC Charges 14 Specialist Firms for Improper Proprietary
Trading" - www.SEC.gov
Improper Fund Trading Arrangements Not Disclosed Link to SEC Administrative Proceedings -
Investment Management Knight Financial Products LLC Securities fraud http://www.sec.gov/litigation/admin/2009/34-59504.pdf
"SEC Charges California Madoff Feeder With Fraud" -
Aiding & Abetting www.SEC.gov
Disclosure Fraud through Financial Reports
Lambeth, Popham and Brighton Disclosure Fraud through Mediums Link to SEC Complaint -
Investment Management Companies Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21096.pdf
"Texas Man Pleads Guilty To Securities Fraud In Connection With
Investment Management Learn Waterhouse Inc. Securities fraud Wide-Ranging Investment Scheme" - US Fed News
Sector Company Scheme(s) Reference
"SEC Charges Former Trader Victor Machado And Former
Salesperson Frank Lu For Participating In Fraudulent Trading
Scheme; Leumi Investment Services Inc. and Oppenheimer & Co.
Inc. Each Settle Administrative Proceedings Based on Failures to
Supervise Machado and Lu, Respectively" - www.SEC.gov
Commercial Bribery Link to SEC Complaint -
Investment Management Leumi Investment Services Inc. Improper Fund Trading Arrangements Not Disclosed http://www.sec.gov/litigation/complaints/2009/comp20909.pdf
"SEC Charges New York-Based Money Manager in $40 Million
Ponzi Scheme" - www.SEC.gov
Link to SEC Complaint -
Investment Management Leverage Group Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21199.pdf
"SEC Files Fraud Action Against Investment Adviser Locke Capital
Management, Inc. And Its Owner Leila Jenkins" - www.SEC.gov
Link to SEC Complaint -
Investment Management Locke Capital Management Inc. Disclosure Fraud through Mediums http://www.sec.gov/litigation/complaints/2009/comp20936.pdf
"FINRA settles additional ARS cases with 4 more companies" -
Investment Management M&I Financial Advisors Inc. Illegal Marketing Associated Press Newswires
"FINRA settles additional ARS cases with 4 more companies" -
Investment Management M&T Securities Inc. Illegal Marketing Associated Press Newswires
"SEC Halts Phony Investment Pool By San Diego Promoter" -
Investment Management MAK 1 Enterprises Group LLC Securities fraud www.SEC.gov
"SEC Brings Fraud Charges and Requests Emergency Relief
Against A Colorado Advisor For Conducting Multi-Million Dollar
Ponzi Scheme" - www.SEC.gov
Link to SEC Complaint -
Investment Management Market Street Advisors Securities fraud http://www.sec.gov/litigation/complaints/2009/comp20992.pdf
"Federal Jury Delivers Verdict in SEC's Favor; Finds Former Fund
Manager, Steven E. Nothern, Liable for Insider Trading of U.S.
Investment Management Massachusetts Financial Services Co. Insider Trading Treasury 30-Year Bonds" - www.SEC.gov
"SEC v. Frank Bluestein, Civil Action No. 2:09-CV-13809 (E.D.
Mich.) (Friedman, J.)" - www.SEC.gov
Link to SEC Complaint -
Investment Management Maximum Financial Group Inc. Aiding & Abetting http://www.sec.gov/litigation/complaints/2009/comp21223.pdf
"SEC Charges Promoter And Firm With Operating A Multi-Million
Dollar Ponzi Scheme Targeting The Hispanic-American
Investment Management Maximum Return Investments Inc. Securities fraud Community" - www.SEC.gov
Improper Use of Fiduciary Funds
Securities fraud "West New York Man Gets 150 Months In Prison For $2 Million
Investment Management Maximus Financial Group Wire Fraud Investment Fraud" - US Fed News
Sector Company Scheme(s) Reference
"SEC Sues 6 Specialist Firms For Unlawful Proprietary Trading On
The Chicago Stock Exchange; Firms Agree To Pay More Than $42
Million In Disgorgement And Civil Penalties" - www.SEC.gov
Link to SEC Complaint -
Improper Fund Trading Arrangements Not Disclosed http://www.sec.gov/litigation/complaints/2009/comp20922-
Investment Management Melvin & Company LLC Securities fraud melvin.pdf
"SEC Charges Former Managing Director at Brokerage Merriman
Curhan Ford & Co. with Defrauding Customers and Helping Bilk
Lenders out of $45 Million" - www.SEC.gov
Aiding & Abetting Link to SEC Complaint -
Investment Management Merriman Curhan Ford & Co. Securities fraud http://www.sec.gov/litigation/complaints/2009/comp20970.pdf
Disclosure Fraud through Mediums "SEC Charges Morgan Keegan & Company, Inc. with Fraudulent
Investment Management Morgan Keegan & Co. Inc. Illegal Marketing Marketing and Sales of Auction Rate Securities" - www.SEC.gov
"SEC Charges Owner Of California Broker-Dealer With
Misappropriating Millions In Investor Funds" - www.SEC.gov
Related Party Transactions Link to SEC Complaint -
Investment Management Morgan Peabody Inc. Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21007.pdf
Money Laundering
Securities fraud "Operator of Mx Factors Sentenced to 100 Years for Orchestrating
Investment Management Mx Factor LLC Wire Fraud Multi-Million Dollar Ponzi Scheme" - www.SEC.gov
"FINRA settles additional ARS cases with 4 more companies" -
Investment Management NatCity Investments Inc. Illegal Marketing Associated Press Newswires
"SEC Obtains Emergency Relief Against Alleged Perpetrator Of
$11 Million Ponzi Scheme" - www.SEC.gov
Link to SEC Complaint -
Investment Management NextStep Financial Services Inc. Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21085.pdf
"SEC Obtains Emergency Relief Against The Nutmeg Group, LLC,
A Chicago-Area Investment Adviser, And Two Of Its Principals For
Alleged Fraud And Custodial Violations" - www.SEC.gov
Disclosure Fraud through Financial Reports Link to SEC Complaint -
Investment Management Nutmeg Group LLC Wire Fraud http://www.sec.gov/litigation/complaints/2009/comp20972.pdf
"SEC Charges Former Trader Victor Machado And Former
Salesperson Frank Lu For Participating In Fraudulent Trading
Scheme; Leumi Investment Services Inc. and Oppenheimer & Co.
Inc. Each Settle Administrative Proceedings Based on Failures to
Supervise Machado and Lu, Respectively" - www.SEC.gov
Commercial Bribery Link to SEC Complaint -
Investment Management Oppenheimer & Co. Inc. Improper Fund Trading Arrangements Not Disclosed http://www.sec.gov/litigation/complaints/2009/comp20909.pdf
Sector Company Scheme(s) Reference
"Phoenix Diversified Commodities Trader Pleads Guilty To Tax,
Mortgage, Fraud Charges In $37 Million 'Ponzi' Scheme" - US Fed
Investment Management Phoenix Diversified Investment Corp. Securities fraud News
"SEC Charges Paul M. Gozzo And PMG Capital, LLC With Fraud In
The Market Manipulation Of Microcap Stocks" - www.SEC.gov
Link to SEC Complaint -
Investment Management PMG Capital LLC Securities fraud http://www.sec.gov/litigation/complaints/2009/comp20957.pdf
"SEC Sues Russian-Based Pointer Worldwide And Tatiana
Improper Use of Fiduciary Funds Badmaeva In Online Intrusion Scheme Involving NYSE And
Investment Management Pointer Worldwide Ltd. Securities fraud NASDAQ Traded Stocks" - www.SEC.gov
"SEC Charges Idaho Investment Adviser In Multi-Million Dollar
Ponzi Scheme" - www.SEC.gov
Securities fraud Link to SEC Complaint -
Investment Management Price Geld & Company Wire Fraud http://www.sec.gov/litigation/complaints/2009/comp21161.pdf
"SEC Seeks Temporary Restraining Order and Asset Freeze to Halt
Ongoing Fraudulent Offering Involving the Troubled Asset Relief
Program" - www.SEC.gov
Link to SEC Complaint -
Investment Management ProTrust Management Inc. Securities fraud http://www.sec.gov/litigation/complaints/2009/comp20873.pdf
"SEC Obtains Asset Freeze In $485 Million Nationwide Offering
Fraud" - www.SEC.gov
Link to SEC Complaint -
Investment Management Provident Royalties LLC Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21118.pdf
"Prudential unit settles SEC, NY market-timing probe" - Reuters
Investment Management Prudential Financial Inc. Market Timing News
"Final Judgments Entered Against Former Prudential Registered
Representatives Michael L. Silver and Brian P. Corbett Concerning
Investment Management Prudential Securities Inc. Market Timing Deceptive Market Timing Practices" - www.SEC.gov
Failure to Pay Taxes
Securities fraud "President Of Clayton Investment Firm Pleads Guilty To $4.5 Million
Investment Management Rate Search Inc. Wire Fraud Ponzi Scheme" - States News Service
Manipulation of Investment Valuation through "RD Capital Group And Firm President Ordered To Pay $1 Million
Improper Deferral or Accounting for Costs Associated In Fines, Restitution For Fraudulent Markups Of U.S. Treasury
Investment Management RD Capital Group with Investments Strips" - States News Service
"SEC Charges Investment Adviser In Multi-Million Dollar Ponzi
Scheme" - www.SEC.gov
Link to SEC Complaint -
Investment Management Regan & Company Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21102.pdf
Sector Company Scheme(s) Reference
"Securities and Exchange Commission v. Reserve Management
Company, Inc., Resrv Partners, Inc., Bruce Bent Sr. and Bruce
Bent II, Civil Action No. 09-CV-4346 (S.D.N.Y. May 5, 2009)" -
www.SEC.gov
Link to SEC Complaint -
Investment Management Reserve Management Company Inc. Disclosure Fraud through Mediums http://www.sec.gov/litigation/complaints/2009/comp21025.pdf
"SEC Freezes Assets of Florida Con-Man Stealing Investor Funds
for Luxury Purchases" - www.SEC.gov
Link to SEC Complaint -
Investment Management Sand Dollar Investing Partners LLC Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21127.pdf
"SEC Charges Wall Street Ring that Made Over $20 Million Serially
Trading on Acquisition Information Tipped by Attorney at
International Law Firm" - www.SEC.gov
Link to SEC Complaint -
Investment Management Schottenfeld Group LLC Insider Trading http://www.sec.gov/litigation/complaints/2009/comp21283.pdf
"SEC Files Settled Insider Trading Charges Against Former
SemGroup, LP Executive" - www.SEC.gov
Link to SEC Complaint -
Investment Management SemGroup LP Insider Trading http://www.sec.gov/litigation/complaints/2009/comp21260.pdf
"SEC v. Sherbourne Capital Management, Ltd., Sherbourne
Improper Use of Fiduciary Funds Financial, Ltd., Paul G. Bultmeyer, and Arthur J. Piacentini, Civil
Investment Management Sherbourne Capital Management Ltd. Securities fraud Action No. 09- 2302 (D-NJ)" - www.SEC.gov
"SEC Charges Operators of $80 Million Ponzi Scheme Targeting
Korean-Americans" - www.SEC.gov
Link to SEC Complaint -
Investment Management SNC Asset Management Inc. Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21076.pdf
"State Street Corp. could face civil fraud charges ; SEC probe
centers on whether firm misled clients on bond funds" - The Boston
Investment Management State Street Corp. Disclosure Fraud through Mediums Globe
Disclosure Fraud through Financial Reports "Boca Raton Man Charged In Multi-Million Dollar 'Ponzi' Scheme" -
Investment Management Sterling Wentworth Currency Group Inc. Securities fraud US Fed News
"CFTC Charges California Man Patrick Dailey And His Texas
Company With Fraud In Connection With A Multi-Million Dollar
Investment Management Strongbow Investments GP LLC Securities fraud Commodity Pool" - States News Service
"SEC Halts Scheme Promising Exorbitant Returns On College and
Retirement Savings" - www.SEC.gov
Link to SEC Complaint -
Investment Management Sun Empire LLC Securities fraud http://www.sec.gov/litigation/complaints/2009/comp20986.pdf
"SEC Halts Multi-Million Dollar Investment Scheme Run By A
Investment Management Sun Group Securities fraud Purported Savings And Loan And Its Principals" - www.SEC.gov
Sector Company Scheme(s) Reference
"SEC Charges 14 Specialist Firms for Improper Proprietary
Trading" - www.SEC.gov
Improper Fund Trading Arrangements Not Disclosed Link to SEC Administrative Proceedings -
Investment Management Susquehanna Investment Group Securities fraud http://www.sec.gov/litigation/admin/2009/34-59506.pdf
"SEC Sues 6 Specialist Firms For Unlawful Proprietary Trading On
The Chicago Stock Exchange; Firms Agree To Pay More Than $42
Million In Disgorgement And Civil Penalties" - www.SEC.gov
Link to SEC Complaint -
Improper Fund Trading Arrangements Not Disclosed http://www.sec.gov/litigation/complaints/2009/comp20922-
Investment Management Sydan LP Securities fraud sydan.pdf
"SEC Charges Former CFO and Six Relatives and Friends in
California-Based Insider Trading Ring" - www.SEC.gov
Link to SEC Complaint -
Investment Management Tang Capital Partners Insider Trading http://www.sec.gov/litigation/complaints/2009/comp21271.pdf
"SEC Charges TD Ameritrade for Auction Rate Securities Sales
Practices" - www.SEC.gov
Disclosure Fraud through Mediums Link to SEC Administrative Proceedings -
Investment Management TD Ameritrade Holding Corp. Illegal Marketing http://www.sec.gov/litigation/admin/2009/33-9053.pdf
"SEC Charges 14 Specialist Firms for Improper Proprietary
Trading" - www.SEC.gov
Improper Fund Trading Arrangements Not Disclosed Link to SEC Administrative Proceedings -
Investment Management TD Options LLC Securities fraud http://www.sec.gov/litigation/admin/2009/34-59507.pdf
Disclosure Fraud through Financial Reports "Massachusetts man charged with $57 million fraud, using money
Investment Management Tenens Corp. Wire Fraud for cars, real estate, airplanes" - Associated Press Newswires
"SEC Charges Texas Investment Adviser for Operating a Ponzi
Investment Management Titan Wealth Management LLC Securities fraud Scheme" - www.SEC.gov
"SEC Charges Options Traders and Broker-Dealers for "Naked"
Short Sale Rule Violations" - www.SEC.gov
Link to SEC Administrative Proceedings -
Investment Management TJM Proprietary Trading LLC Securities fraud http://www.sec.gov/litigation/admin/2009/34-60440.pdf
"SEC Charges a Former Order Processing Clerk at a New York-
Based Investment Adviser with Unauthorized Trading" -
www.SEC.gov
Link to SEC Complaint -
Investment Management Tobias Bros. Inc. Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21250.pdf
Sector Company Scheme(s) Reference
"SEC Sues 6 Specialist Firms For Unlawful Proprietary Trading On
The Chicago Stock Exchange; Firms Agree To Pay More Than $42
Million In Disgorgement And Civil Penalties" - www.SEC.gov
Link to SEC Complaint -
Improper Fund Trading Arrangements Not Disclosed http://www.sec.gov/litigation/complaints/2009/comp20922-
Investment Management TradeLink LLC Securities fraud tradelink.pdf
"SEC Obtains Emergency Relief Against David F. Merrick, Traders
International Return Network And Others In Lawsuit Alleging
Misappropriation Of Investors’ Funds And Ponzi Scheme" -
www.SEC.gov
Link to SEC Complaint -
Investment Management Traders International Return Network Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21248.pdf
"Virginia Investment Firm Officer Pleads Guilty to Conspiracy with
Attorney and KPMG Tax Partner in Tax Shelter Case" -
Investment Management TransCapital Corp. Aiding & Abetting www.USDOJ.gov
Money Laundering
Securities fraud "Vallejo Men Indicted In Over $17 Million Ponzi Scheme" - US Fed
Investment Management Trebor Company Wire Fraud News
"Record fine for Tricom's manipulation" - The Sydney Morning
Investment Management Tricom Equities Securities fraud Herald
"SEC Files Complaint Against Daren L. Palmer and Trigon Group,
Improper Use of Fiduciary Funds Inc. for Operating a $40 million Ponzi Scheme and Obtains Orders
Investment Management Trigon Group Inc. Securities fraud Freezing Assets, and Appointing a Receiver" - www.SEC.gov
"Former Owner Of Chilean Financial Services Company Sentenced
In Manhattan Federal Court For Violating U.S. Anti-Money
Investment Management Turismo Costa Brava SA Money Laundering Laundering Law" - US Fed News
"In the Matter of Veritas Financial Advisors, LLC, et al., Admin.
Investment Management Veritas Advisors Inc. Theft of Checks Proc. File No. 3-12355" - www.SEC.gov
"SEC Halts Ongoing Fraud Conducted By Investment Adviser In
Investment Management Vision Specialist Group LLC Securities fraud Central Pennsylvania" - www.SEC.gov
Improper Use of Fiduciary Funds "SEC Obtains Asset Freeze Of Wisconsin Investment Adviser
Investment Management Wealth Management LLC Securities fraud Charged In Kickback Scheme" - www.SEC.gov
Disbursement of company funds including the
issuance of false credits or refunds or rebates and "SEC Emergency Action Halts Fraud at Unregistered Hedge Fund" -
bribes to legitimate vendors for which the employee www.SEC.gov
receives a kickback
Disclosure Fraud through Financial Reports Link t SEC Complaint -
Investment Management Westgate Capital Management LLC Improper Investment Valuation http://www.sec.gov/litigation/complaints/2009/comp20911.pdf
"Pair Lived Large on Fraud, U.S. Says" - The Wall Street Journal
Securities fraud Link to SEC Complaint -
Investment Management WG Trading Investors LP Wire Fraud http://www.sec.gov/litigation/complaints/2009/comp20912.pdf
"Lawyer Admits Dipping Into Escrow Funds For $9.3 Million" - New
Law Firms Cauley Bowman Carney & Williams Wire Fraud York Law Journal
Sector Company Scheme(s) Reference
Fraud Against the Government or Customers "Lawyer Is Accused of Stealing Disabled People's Assets He Was
Law Firms Raia & Rondos Money Laundering Assigned to Protect" - The New York Times
"SEC Charges Wall Street Ring that Made Over $20 Million Serially
Trading on Acquisition Information Tipped by Attorney at
International Law Firm" - www.SEC.gov
Link to SEC Complaint -
Law Firms Ropes & Gray LLP Insider Trading http://www.sec.gov/litigation/complaints/2009/comp21283.pdf
Money Laundering
Securities fraud "Feds accuse Fla. lawyer of Ponzi scheme, seize Ferrari, boats and
Law Firms Rothstein Rosenfeldt Adler Wire Fraud other assets in probe" - Associated Press Newswires
"SEC Charges Idaho Mining Company and Former CEO with Illegal
Stock Scheme" - www.SEC.gov
Atlas Mining Company (aka Applied Disclosure Fraud through Financial Reports Link to SEC Complaint -
Metals & Mining Minerals Inc.) Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21345.pdf
Conflicts of Interest "Simmer & Jack: Directors Resign; Co Calls For JSE Probe" - Dow
Metals & Mining Simmer & Jack Mines Ltd. Insider Trading Jones International News
"Cuomo Announces Intent To Sue 'Amerimod' Loan Modification
Personal/Business/Professional/ Company In Investigation Of Foreclosure Rescue Scams Targeting
Misc Services American Modification Agency Inc. Illegal Marketing Homeowners Nationwide" - States News Service
"Cuomo Announces Lawsuit Against "Amerimod" Loan Modification
Personal/Business/Professional/ Company To Protect Distressed Homeowners Facing Foreclosure" -
Misc Services American Modification Agency Inc. Illegal Marketing States News Service
Personal/Business/Professional/ "SEC Charges California Sales Agent In Connection With $45
Misc Services AOB Commerce Inc. Securities fraud Million Ponzi-Like Scheme" - www.SEC.gov
Money Laundering
Personal/Business/Professional/ Recording Fictitious Transactions "Three Men Charged In Fraudulent Billing Scheme" - States News
Misc Services Attorney's Printing Suppy Wire Fraud Service
Failure to Pay Taxes "Accounting Firm Attorney Pleads Guilty to Tax Fraud Related to
Personal/Business/Professional/ Tax Related Accounts including tax Tax Shelters Claiming Over One Billion Dollars of Fraudulent Tax
Misc Services BDO Siedman LLP receivables/deferred tax/and tax liability Losses" - PR Newswire (U.S.)
Personal/Business/Professional/ Improper Use of Fiduciary Funds "SEC Obtains Emergency Relief To Halt Offering Fraud Targeting
Misc Services Ben-Wal Leasing Company Securities fraud Mobile Home Park Communities" - www.SEC.gov
Personal/Business/Professional/ Theft of Company Checks and Check Tampering
Misc Services Center Valley Federal Credit Union Wire Fraud "Former Credit Union CEO Indicted" - US Fed News
"Defendants, Including Sisters, Sentenced For Defrauding Dallas-
Personal/Business/Professional/ Theft of Company Checks and Check Tampering Based Business Four Defendants Stole More Than $750,000.00" -
Misc Services Checktronic Wire Fraud US Fed News
"SEC Charges China Holdings, Inc. And Its CEO With Fraud For
Filing Unauthorized Audit Reports" - www.SEC.gov
Personal/Business/Professional/ Link to SEC Complaint -
Misc Services China Holdings Inc. Disclosure Fraud through Financial Reports http://www.sec.gov/litigation/complaints/2009/comp21272.pdf
Personal/Business/Professional/ "New York Accuses 2 Debt Settlement Firms of Fraud" - The New
Misc Services Credit Solutions of America Inc. Illegal Marketing York Times
Personal/Business/Professional/ Commercial Bribery "Construction industry's dependence on slush funds remains
Misc Services Daiko Failure to Pay Taxes unchanged" - Kyodo News
Sector Company Scheme(s) Reference
Personal/Business/Professional/ "Attorney General Cuomo Launches Inquiry Into Debt Collectors
Misc Services Emanee Development Inc. Illegal Marketing Across New York State" - States News Service
"SEC Charges Ernst & Young and Six Partners for Roles in
Accounting Violations at Bally Total Fitness" - www.SEC.gov
Link to SEC Complaint -
http://www.sec.gov/litigation/admin/2009/33-9096.pdf
Link to SEC Complaint -
http://www.sec.gov/litigation/admin/2009/33-9092.pdf
Link to SEC Complaint -
http://www.sec.gov/litigation/admin/2009/34-61191.pdf
Link to SEC Complaint -
http://www.sec.gov/litigation/admin/2009/33-9093.pdf
Link to SEC Complaint -
http://www.sec.gov/litigation/admin/2009/33-9094.pdf
Link to SEC Complaint -
http://www.sec.gov/litigation/admin/2009/33-9095.pdf
Personal/Business/Professional/ Link to SEC Complaint -
Misc Services Ernst & Young Aiding & Abetting http://www.sec.gov/litigation/admin/2009/34-61195.pdf
Personal/Business/Professional/ "Hong Kong Police Raid Ernst & Young" - The Wall Street Journal
Misc Services Ernst & Young LLP Aiding & Abetting Online
"SEC Charges Escala Group, Inc., its Former CEO and CFO with
Disclosure and Accounting Fraud Concerning Related Party
Transactions with Parent Company Afinsa" - www.SEC.gov
Personal/Business/Professional/ Related Party Transactions Link to SEC Complaint -
Misc Services Escala Group Inc. Round-trip Transactions http://www.sec.gov/litigation/complaints/2009/comp20965.pdf
Personal/Business/Professional/ Money Laundering "Lubbock Businessman Admits Causing More Than $50 Million In
Misc Services Excel Lease Fund Securities fraud Losses To Investors" - States News Service
Personal/Business/Professional/ Fraud Against the Government or Customers "Eden Prairie Man Sentenced For Health Care Fraud, Money
Misc Services Global Interpreter Corp. Money Laundering Laundering" - US Fed News
Personal/Business/Professional/ "U.K. Recruiters Are Fined; Six Firms are Charged with Price-
Misc Services Hays PLC Antitrust Fixing; $57.2 Million Penalty" - The Wall Street Journal Online
"SEC Charges Investor Relations Account Executive And His
Tippees For $1.4 Million Insider Trading Scheme" - www.SEC.gov
Personal/Business/Professional/ Link to SEC Complaint -
Misc Services Lippert Heilshorn & Associates Inc. Insider Trading http://www.sec.gov/litigation/complaints/2009/comp21069.pdf
"SEC Charges Promoters of "Green" Investments With Operating
$30 Million Ponzi Scheme Based in Denver Area" - SEC News
Digest
Personal/Business/Professional/ Link to SEC Complaint -
Misc Services Mantria Corp. Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21301.pdf
Personal/Business/Professional/ "Globe Woman Indicted For $1.2 Million Embezzlement From
Misc Services Marian Miami Federal Credit Union Theft of Company Checks and Check Tampering Arizona Credit Union" - US Fed News
Personal/Business/Professional/ "The Galleon Case: Moody's Analysts Are Warned to Keep
Misc Services Moody's Corp. Insider Trading Secrets" - The Wall Street Journal
Sector Company Scheme(s) Reference
Personal/Business/Professional/ "Former executive of prearranged funeral company indicted in
Misc Services National Prearranged Services Inc. Wire Fraud alleged $600M fraud scheme" - Associated Press Newswires
Personal/Business/Professional/ "New York Accuses 2 Debt Settlement Firms of Fraud" - The New
Misc Services Nationwide Asset Services Illegal Marketing York Times
"Former Treasurer For Cemetery In Chester Pleads Guilty To
Personal/Business/Professional/ Failure to Pay Taxes Stealing More Than $600,000 From Cemetery Association" - US
Misc Services Pleasant Hill Cemetery Association Wire Fraud Fed News
Personal/Business/Professional/ "Pricewaterhouse Defends Its Audit Procedures" - The Wall Street
Misc Services PricewaterhouseCoopers LLP Aiding & Abetting Journal
Personal/Business/Professional/ "Twenty-Seven Victims Of Fraud Scheme To Receive Restitution
Misc Services Professional Employee Organizations Worker's Compensation Fraud Totaling $2.9 Million" - US Fed News
Personal/Business/Professional/ Fictitious Employees "Former Randstad Branch Manager Sentenced To Federal Prison
Misc Services Randstad North America Wire Fraud For Embezzlement" - US Fed News
Personal/Business/Professional/
Misc Services Standard & Poor's Antitrust "EU Says S&P May Be Abusing Position" - The Wall Street Journal
Personal/Business/Professional/ Commercial Bribery "Key figure in probe of Detroit sludge contract pleads guilty to
Misc Services Synagro Technologies Inc. Illegal Political Contributions federal conspiracy charge" - Associated Press Newswires
Personal/Business/Professional/
Misc Services Visa Europe Antitrust "EU Charges Visa Europe Over Fees" - The Wall Street Journal
Personal/Business/Professional/ Fraud Against the Government or Customers "President Of Collection Company Indicted In Connection With
Misc Services Walker Associates Inc. Wire Fraud Allegedly Stealing $2.7 Million From City Of Boston" - US Fed News
Fraud Against the Government or Customers
Personal/Business/Professional/ Money Laundering "Atlanta Chiropractors Indicted For Health Care Fraud" - US Fed
Misc Services WellnessOne Wire Fraud News
Business Expenses Fraud
Falsified Wages or Commissions
Fictitious Employees
Personal purchases
Personal/Business/Professional/ Theft of Checks "Former Chief Financial Officer Charged With Embezzling Over
Misc Services White Magic Wire Fraud $450,000 From Her Employer" - US Fed News
Disclosure Fraud through Financial Reports "SEC Charges Former President Of World Health Alternatives, Inc.
Disclosure Fraud through Mediums And Three Others For Conducting Financial Fraud" - www.SEC.gov
Securities fraud
Personal/Business/Professional/ Understating Loans and Payables Link to SEC Complaint -
Misc Services World Health Alternatives Inc. Wire Fraud http://www.sec.gov/litigation/complaints/2009/comp21350.pdf
"Four Pharmaceutical Companies Pay $124 Million for Submission
Pharmaceutical & Life Sciences AstraZeneca PLC Fraud Against the Government or Customers of False Claims to Medicaid" - www.USDOJ.gov
"AstraZeneca Pays Millions To Settle Seroquel Cases" - The New
Pharmaceutical & Life Sciences AstraZeneca PLC Illegal Marketing York TImes
Aventis Pharmaceuticals Inc. (aka Sanofi- "Aventis Pharmaceutical to Pay U.S. $95.5 Million to Settle False
Pharmaceutical & Life Sciences Aventis) Fraud Against the Government or Customers Claims Act Allegations" - www.USDOJ.gov
"Medicare Fraud Strike Force Operations in Houston Lead to
Pharmaceutical & Life Sciences B.I. Medical Supply LLC Fraud Against the Government or Customers Charges Against Six Area Residents" - www.USDOJ.gov
"Los Angeles Jury Convicts Equipment Suppliers of Medicare
Pharmaceutical & Life Sciences CHH Medical Suppy Fraud Against the Government or Customers Fraud" - www.USDOJ.gov
"Utah Attorney General Recovers $1 Million Medicaid Settlement" -
Pharmaceutical & Life Sciences Dey LP Fraud Against the Government or Customers US Fed News
Sector Company Scheme(s) Reference
Disbursement of company funds including the
issuance of false credits or refunds or rebates and
bribes to legitimate vendors for which the employee
receives a kickback
Fraud Against the Government or Customers "Endoscopic Technologies to Pay U.S. $1.4 Million to Resolve
Pharmaceutical & Life Sciences Endoscopic Technologies Inc. Illegal Marketing Allegations of Medicare Fraud" - www.USDOJ.gov
Disbursement of company funds including the
issuance of false credits or refunds or rebates and
bribes to legitimate vendors for which the employee
receives a kickback
Fraud Against the Government or Customers "United States Files Complaint Against Forest Laboratories for
Pharmaceutical & Life Sciences Forest Laboratories Inc. Illegal Marketing Allegedly Violating the False Claims Act" - www.USDOJ.gov
Recording Fictitious Transactions "S.Africa businessman Tannenbaum denies $1.2 bln fraud" -
Pharmaceutical & Life Sciences Frankel Enterprises Ltd. Securities Fraud Reuters News
Fraud Against the Government or Customers "Owner of Pharmaceutical Wholesale Company Pleads Guilty to
Pharmaceutical & Life Sciences HME Solutions Inc. Money Laundering Medicare Fraud" - www.USDOJ.gov
Disbursement of company funds including the
issuance of false credits or refunds or rebates and "Nation’s Largest Nursing Home Pharmacy and Drug Manufacturer
bribes to legitimate vendors for which the employee to Pay $112 Million to Settle False Claims Act Cases" -
Pharmaceutical & Life Sciences IVAX Corp. receives a kickback www.USDOJ.gov
Fraud Against the Government or Customers "United States Joins Suits Against Scios and Johnson & Johnson" -
Pharmaceutical & Life Sciences Johnson & Johnson Illegal Marketing www.USDOJ.gov
"United States Files Suit Against Missouri-Based Pharmaceutical to
Environmental or Health or Safety Violations Block Manufacturing and Shipping of Unapproved Drugs" -
Pharmaceutical & Life Sciences KV Pharmaceutical Co. Illegal Marketing www.USDOJ.gov
Commercial Bribery "Medtronic Gets Subpoena Regarding Disputed Study" - The New
Pharmaceutical & Life Sciences Medtronic Inc. Conflicts of Interest York Times
Consignment or Other Contingency Sales "SEC Charges Merge Healthcare Incorporated, Richard Linden,
Early Delivery of Product And Scott Veech In Connection With Accounting Fraud" -
Pharmaceutical & Life Sciences Merge Healthcare Inc. Side Letter Agreements www.SEC.gov
"Four Pharmaceutical Companies Pay $124 Million for Submission
Pharmaceutical & Life Sciences Mylan Pharmaceuticals Inc. Fraud Against the Government or Customers of False Claims to Medicaid" - www.USDOJ.gov
Disbursement of company funds including the
issuance of false credits or refunds or rebates and
bribes to legitimate vendors for which the employee
receives a kickback "Neurometrix Agrees To Deferred Prosecution For Illegal Kickbacks
Pharmaceutical & Life Sciences Neurometrix Inc. Illegal Marketing Paid To Physicians" - US Fed News
"SEC Files Settled Books and Records and Internal Controls
Charges Against Novo Nordisk for Improper Payments to Iraq
Disbursement of company funds including the Under the U.N. Oil for Food Program; Novo Nordisk Agrees to Pay
issuance of false credits or refunds or rebates and Over $10 Million in Disgorgement, Interest, and Penalties" -
bribes to legitimate vendors for which the employee www.SEC.gov
receives a kickback
Payments to Government Officials Link to SEC Complaint -
Pharmaceutical & Life Sciences Novo Nordisk A/S Wire Fraud http://www.sec.gov/litigation/complaints/2009/comp21033.pdfa
Disbursement of company funds including the
issuance of false credits or refunds or rebates and "Nation’s Largest Nursing Home Pharmacy and Drug Manufacturer
bribes to legitimate vendors for which the employee to Pay $112 Million to Settle False Claims Act Cases" -
Pharmaceutical & Life Sciences Omnicare Inc. receives a kickback www.USDOJ.gov
Sector Company Scheme(s) Reference
"Four Pharmaceutical Companies Pay $124 Million for Submission
Pharmaceutical & Life Sciences Ortho McNeil Pharmaceutical Inc. Fraud Against the Government or Customers of False Claims to Medicaid" - www.USDOJ.gov
"Quest Diagnostics to Pay U.S. $302 Million to Resolve Allegations
Pharmaceutical & Life Sciences Quest Diagnostics Inc. Illegal Marketing That a Subsidiary Sold Misbranded Test Kits" - www.SEC.gov
"Guilty Pleas in Inquiry Into Stryker's Marketing" - The New York
Pharmaceutical & Life Sciences Stryker Corp. Illegal Marketing Times
"Landmark Settlement Reached With Medical Device Maker
Pharmaceutical & Life Sciences Synthes AG Conflicts of Interest Synthes" - US Fed News
"Medical Equipment Company Owner Pleads Guilty to Fraud
Scheme Involving Nutritional Supplies and 'Arthritis Kits'" -
Pharmaceutical & Life Sciences Trucare Medical Equipment Services Fraud Against the Government or Customers www.USDOJ.gov
"Four Pharmaceutical Companies Pay $124 Million for Submission
Pharmaceutical & Life Sciences UDL Laboratories Inc. Fraud Against the Government or Customers of False Claims to Medicaid" - www.USDOJ.gov
"Miramar Accountant Pleads Guilty To Medicare Fraud Scheme" -
Pharmaceutical & Life Sciences Universal Care Corp. Fraud Against the Government or Customers US Fed News
"Cuomo Secures Agreements With Four Leading Private Equity
Commercial Bribery Firms To Adopt Code Of Conduct And Eliminate Pay-To-Play In
Private Equity Access Capital Partners Conflicts of Interest Public Pension Funds Nationwide" - States News Service
"SEC Charges Investment Management Firm and Principal in
Kickback Scheme Involving New York Pension Fund" -
www.SEC.gov
Link to SEC Complaint -
http://www.sec.gov/litigation/complaints/2009/comp21018.pdf
Disbursement of company funds including the
issuance of false credits or refunds or rebates and Link to OAG of New York Criminal Complaint -
bribes to legitimate vendors for which the employee http://www.oag.state.ny.us/media_center/2009/apr/pdfs/Meyer%20
Private Equity Aldus Equity Partners LP receives a kickback Complaint%20-%20FINAL.pdf
Commercial Bribery
Conflicts of Interest
Disbursement of company funds including the
issuance of false credits or refunds or rebates and
bribes to legitimate vendors for which the employee "Pension Deals Seen as a Focus Of Wide Inquiry" - The New York
Private Equity Carlyle Group receives a kickback Times
"Cuomo Secures Agreements With Four Leading Private Equity
Commercial Bribery Firms To Adopt Code Of Conduct And Eliminate Pay-To-Play In
Private Equity Falconhead Capital Conflicts of Interest Public Pension Funds Nationwide" - States News Service
"Cuomo Secures Agreements With Four Leading Private Equity
Commercial Bribery Firms To Adopt Code Of Conduct And Eliminate Pay-To-Play In
Private Equity HM Capital Partners I Conflicts of Interest Public Pension Funds Nationwide" - States News Service
"Cuomo Secures Agreements With Four Leading Private Equity
Commercial Bribery Firms To Adopt Code Of Conduct And Eliminate Pay-To-Play In
Private Equity Levine Leichtman Capital Partners Conflicts of Interest Public Pension Funds Nationwide" - States News Service
"Cuomo Announces Guilty Plea By Founder Of Private Equity Firm
In Continuing Investigation Of Pay-To-Play Kickback Scheme At
Private Equity Markstone Capital Group LLC Commercial Bribery State Pension Fund" - States News Service
Sector Company Scheme(s) Reference
"SEC Freezes Assets Of Financier Danny Pang For
Misrepresenting Investments And Forging Documents To
Investors" - www.SEC.gov
Fraudulent Estimates of Foreign Currency Translation Link to SEC Complaint -
Private Equity Private Equity Management Group Inc. Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21013.pdf
Commercial Bribery
Disbursement of company funds including the
issuance of false credits or refunds or rebates and
bribes to legitimate vendors for which the employee
Private Equity Quadrangle Group LLC receives a kickback "Rattner Involved In Inquiry On Fees" - The Wall Street Journal
Commercial Bribery
Conflicts of Interest
Disbursement of company funds including the
issuance of false credits or refunds or rebates and
bribes to legitimate vendors for which the employee
Private Equity Riverstone Holdings receives a kickback "Firm Settles in New York Pension Inquiry" - The New York Times
"SEC Blocks Ponzi Scheme Involving Purported Investments In
Personal Injury Settlements" - www.SEC.gov
Disclosure Fraud through Mediums Link to SEC Complaint -
Private Equity Rockford Funding Group LLC Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21329.pdf
"SEC Charges Former Employees Of Global Firms In Serial Insider
Trading Scheme" - www.SEC.gov
Link to SEC Complaint -
Private Equity TPG Capital LLP Insider Trading http://www.sec.gov/litigation/complaints/2009/comp21339.pdf
"Securities and Exchange Commission v. Michael Strauss, Stephen
Disclosure Fraud through Financial Reports Hozie and Robert Bernstein, Civil Action No. 09-CV-4150 (RB)
Fraudulent Estimates of Inadequate Reserves or (S.D.N.Y. April 28, 2009)" - www.SEC.gov
Failure to Adequately Recognize Bad Debts or
American Home Mortgage Investment Impairment of Receivables Link to SEC Complaint -
Real Estate Corp. Understating Loans and Payables http://www.sec.gov/litigation/complaints/2009/comp21014.pdf
"SEC v. John J. Bravata, et al, Case No. 09-CV-12950 (E.D. Mich.,
filed July 26, 2009)" - www.SEC.gov
Link to SEC Complaint -
Real Estate BBC Equities LLC Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21155.pdf
"Justice Department Reaches Settlement with Consolidated
Real Estate Consolidated Multiple Listing Service Inc. Antitrust Multiple Listing Service Inc." - www.USDOJ.gov
Disclosure Fraud through Financial Reports
Real Estate Countrywide Financial Corp. Insider Trading "Charges of fraud loom for Mozilo" - Los Angeles Times
"DBSI investigators say company used new investors' money to
Real Estate DBSI Inc. Improper Use of Fiduciary Funds pay earlier obligations" - Associated Press Newswires
Disclosure Fraud through Mediums "Dubai Raises Developer's Bail In Fraud Case" - The Wall Street
Real Estate Dynasty Zarooni Wire Fraud Journal
"Manhattan Real Estate Developer Pleads Guilty In $27 Million
Real Estate Kingsland Group Inc. Wire Fraud Fraud Scheme" - US Fed News
Sector Company Scheme(s) Reference
"Securities and Exchange Commission v. Christopher M. Kunkel,
1:09-CV-1481 (N.D. Ga. June 4, 2009)" - www.SEC.gov
Link to SEC Complaint -
Real Estate Pinnacle Development Partners LLC Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21077.pdf
"Southwest Exchange Owner Pleads Guilty In Federal Court To
Real Estate Southwest Exchange Inc. Wire Fraud Wire Fraud" - States News Service
"SEC Charges Operators of Multi Billion Dollar Real Estate
Real Estate Sunwest Management Inc. Securities fraud Enterprise" - www.SEC.gov
"SEC Charges Swiss National with Insider Trading" - www.SEC.gov
ink to SEC Complaint -
Real Estate Swiss Real Estate International Holding AG Insider Trading http://www.sec.gov/litigation/complaints/2009/comp21075.pdf
Money Laundering "Valley Investments Owners Philip Lochmiller, His Son, As Well As
Securities fraud Another Employee Indicted For Conspiracy And Fraud" - States
Real Estate Valley Investments Wire Fraud News Service
Misappropriation of Intellectual Property "Royal Oak Man Charged In Theft Of Trade Secrets" - US Fed
Real Estate World Alliance Financial Corp. Wire Fraud News
"Minneapolis Packaged-Ice Company Agrees to Plead Guilty to
Retail and Consumer Arctic Glacier International Inc. Antitrust Customer Allocation Conspiracy" - www.USDOJ.gov
"Taiwan LCD Producer Agrees to Plead Guilty and Pay $220 Million
Fine for Participating in LCD Price-Fixing Conspiracy" -
Retail and Consumer Chi Mei Optoelectronics Antitrust www.USDOJ.gov
"Former Executive Indicted for His Role in Two Cathode Ray Tube
Retail and Consumer Chunghwa Picture Tubes Ltd. Antitrust Price-Fixing Conspiracies" - www.USDOJ.gov
"Former Taiwanese Executive Indicted in Color Display Tube Price-
Retail and Consumer Chunghwa Picture Tubes Ltd. Antitrust Fixing Conspiracy" - www.USDOJ.gov
"Epson Imaging Devices Agrees to Plead Guilty and Pay $26
Million Fine for Participating in LCD Price-Fixing Conspiracy" -
Retail and Consumer Epson Imaging Devices Corp. Antitrust www.USDOJ.gov
Creation of fictitious vendors by an employee or using
shell companies "Lexington Kentucky Fugitive Indicted For Allegedly Embezzling
Money Laundering $8.7 Million From Cincinnati-Based Soft Drink Bottler" - US Fed
Retail and Consumer G&J Pepsi-Cola Bottlers Inc. Wire Fraud News
Payments to Government Officials "Hong Kong court extends freeze of Gome ex-chairman's assets in
Retail and Consumer Gome Electrical Appliances Securities fraud city amid China's graft probe" - Associated Press Newswires
"The Hain Celestial Group Inc. Settles Charges of Stock Options
Backdating" - www.SEC.gov
Link to SEC Complaint -
Retail and Consumer Hain Celestial Group Inc. Backdating of Options http://www.sec.gov/litigation/complaints/2009/comp21195.pdf
"Hitachi Displays Agrees to Plead Guilty and Pay $31 Million Fine
Retail and Consumer Hitachi Displays Ltd. Antitrust for Participating in LCD Price-Fixing Conspiracy" - www.USDOJ.gov
"Koss Executive Accused Of Embezzling Company Funds To Pay
Retail and Consumer Koss Corp. Wire Fraud Off Shopping Spree" - Dow Jones News Service
"FTC Charges Indiana Firm With Failing To Live Up To Rebate
Retail and Consumer Market Development Specialists Illegal Marketing Promises" - States News Service
Sector Company Scheme(s) Reference
"SEC Charges Nature's Sunshine Products, Inc. With Making Illegal
Foreign Payments" - www.SEC.gov
Link to SEC Complaint -
Retail and Consumer Nature's Sunshine Products Inc. Payments to Government Officials http://www.sec.gov/litigation/complaints/2009/comp21162.pdf
Creation of Fictitious Vendors by an Employee or
Using Shell Companies
Misappropriation of Fixed Assets
Money Laundering
Retail and Consumer Republic Windows and Doors Wire Fraud "Theft Charges For Ex-Owner Of Factory" - The New York Times
"At Ex-Employee's Sentencing, Saks Speaks as Victim" - The New
Retail and Consumer Saks Inc. Recording False Refunds York Times
"Hudson Woman Pleads Guilty, Sentenced For Stealing $724,000
Retail and Consumer Skinner Inc. Lapping From Local Antiques Dealer" - US Fed News
"SEC Sues Former Universal Food & Beverage, Co. CEO For
Fraud" - www.SEC.gov
Disclosure Fraud through Financial Reports Link to SEC Complaint -
Retail and Consumer Universal Food & Beverage Inc. Disclosure Fraud through Mediums http://www.sec.gov/litigation/complaints/2009/comp21187.pdf
"Attorney General Goddard Announces $1 Million Pricing
Retail and Consumer Wal-Mart Stores Inc. Antitrust Settlement With Wal-Mart" - US Fed News
"Two Accused of Embezzling $200,000 From South Bronx Nonprofit
SBCC Management Corp. Education/Not for Profit Personal purchases Group They Headed" - The New York Times
"Attorney General Cuomo Announces Criminal Charges Against A
State University of New York Former Suny Employee For Using State Credit Card To Purchase
College of Optometry Education/Not for Profit Personal purchases Personal Items" - States News Service
Backdating of Agreements
Bill and Hold and Other Schemes Involving Lack of
Delivery "SEC Charges Massachusetts Company, Former Chief Operating
Improper Estimates for Returns or Price Adjustments Officer, and Controller in Scheme to Inflate Reported Revenue" -
and Other Concessions www.SEC.gov
Sham Transactions - Related Party or Trial /
Evaluation Products and Other Link to SEC Complaint -
Technology Apogee Technology Inc. Side Letter Agreements http://www.sec.gov/litigation/complaints/2009/comp21048.pdf
"New Hampshire Woman Pleads Guilty, Sentenced For Stealing
Creation of fictitious vendors by an employee or using More Than $82,000 From Her Former Employer" - States News
Technology Aspect Software shell companies Service
"SEC Brings Settled Actions Against Former CEO And CFO Of
Bill and Hold and Other Schemes Involving Lack of Astropower, Inc. For Their Roles In Financial Fraud" -
Delivery www.SEC.gov
Consignment or Other Contingency Sales
Disclosure Fraud through Financial Reports Link to SEC Complaint -
Technology AstroPower Inc. Recording Fictitious Transactions http://www.sec.gov/litigation/complaints/2009/comp20938.pdf
"SEC Halts $14 Million Ponzi Scheme Conducted By Nevada-
Based Firm And Its Manager" - www.SEC.gov
Link to SEC Complaint -
Technology Axcess Automation LLC Securities fraud http://www.sec.gov/litigation/complaints/2009/comp21041.pdf
Sector Company Scheme(s) Reference
"Former Accountant Arraigned In Connection With Allegedly
Technology Beta-Therm Corp. Personal purchases Stealing Over $202,000 From Former Employer" - US Fed News
"Black Box Gets Wells Notice From SEC" - Dow Jones Corporate
Technology Black Box Corp. Backdating of Options Filings Alert
Commercial Bribery "Former Speaker Of Massachusetts House Of Representatives And
Money Laundering Three Associates Indicted On Corruption Charges" - States News
Technology Cognos LLC Wire Fraud Service
Antitrust "New Mexico-based Computer Assets Inc. Agrees to Settle False
Fraud Against the Government or Customers Claims Allegations Involving the E-Rate Program" -
Technology Computer Assets Inc. Over-billing schemes www.USDOJ.gov
"Utah Man Sentenced To Eight Years For Multi-Million Dollar Fraud
Technology CyberKey Solutions Inc. Disclosure Fraud through Mediums Scheme" - States News Service
"Dell settles with attorneys general over misleading financing offers,
Technology Dell Inc. Illegal Marketing will pay $3.85 million" - Associated Press Newswires
"Diebold CFO Receives Wells Notice, Steps Down" - The Wall
Technology Diebold Inc. Undefined - Improper revenue recognition Street Journal
"Former Document Sciences Project Manager To Pay More Than
$120,000 To Settle Insider Trading Charge" - www.SEC.gov
Link to SEC Complaint -
Technology Document Sciences Corp. Insider Trading http://www.sec.gov/litigation/complaints/2009/comp21240.pdf
Conflicts of Interest
Disbursement of company funds including the
issuance of false credits or refunds or rebates and
bribes to legitimate vendors for which the employee "United States Intervenes in Case Against EMC Corporation
receives a kickback Alleging False Claims on Sales of Hardware, Software and
Technology EMC Corp. Fraud Against the Government or Customers Technology Services" - www.USDOJ.gov
"SEC Settles Insider Trading Case With Aaron S. Cooksey" -
www.SEC.gov
Link to SEC Complaint -
Technology Freescale Semiconductor Inc. Insider Trading http://www.sec.gov/litigation/complaints/2009/comp20863.pdf
"Justice Probes Antitrust Issues In Google Deal With Publishers" -
Technology Google Inc. Antitrust The Wall Street Journal
IBM Corp. (aka International Business Insider Trading "The Galleon Case: Moffat Viewed as 'Classic IBM Executive'" -
Technology Machines Corp.) Securities fraud The Wall Street Journal
Disclosure Fraud through Mediums "SEC Charges the Former CEO of Florida Software Company with
Technology IBSG International Inc. Insider Trading Fraud" - www.SEC.gov
Aiding & Abetting
Fraudulent or Improper Inventory Capitalization -
including Manipulation of Period End Overhead and
Indirect Cost Application Process
Improper Accounting for Consignment Inventory
Manipulation of Related Party Receivables
Round-trip Transactions
Sham Transactions - Related Party or Trial / "Ingram Micro to Disgorge $15 Million for Recordkeeping and
Technology Ingram Micro Inc. Evaluation Products and Other Internal Controls Violations" - SEC News Digest
Disclosure Fraud through Mediums "SEC Charges Three Former Integral Systems Officers with
Technology Integral Systems Inc. Securities fraud Securities Fraud" - www.SEC.gov
Sector Company Scheme(s) Reference
Technology Intel Corp. Antitrust "Cuomo Hits Intel With Suit" - The Wall Street Journal
"U.S. Sues Intel Alleging New Market Abuses --- FTC Action
Against Chip Giant Comes Same Day That Microsoft Resolves Its
Technology Intel Corp. Antitrust Longtime Antitrust Problems in Europe" - The Wall Street Journal
"SEC Charges Former Isilon Systems CFO With Fraudulently
Boosting Revenue" - www.SEC.gov
Link to SEC Complaint -
http://www.sec.gov/litigation/complaints/2009/comp21210-
fuhlendorf.pdf
Round-trip Transactions Link to SEC Complaint -
Technology Isilon Systems Inc. Side Letter Agreements http://www.sec.gov/litigation/complaints/2009/comp21210-isilon.pdf
"SEC Charges Five Individuals with Insider Trading Relating to the
Acquisition of Jamdat Mobile, Inc.; Four Individuals to Pay
$338,000 in Settlement" - www.SEC.gov
Link to SEC Complaint -
http://www.sec.gov/litigation/complaints/2009/comp21249-4895.pdf
Link to SEC Complaint -
Technology Jamdat Mobile Inc. Insider Trading http://www.sec.gov/litigation/complaints/2009/comp21249-8763.pdf
"SEC Files Settled Insider Trading Action Against Jeff L. Soisson
And Karen Kaye Walker" - www.SEC.gov
Link to SEC Complaint -
http://www.sec.gov/litigation/complaints/2009/comp21201.pdf
Technology JDA Software Group Insider Trading
Disclosure Fraud through Financial Reports "Former Maximum Dynamics Principal Pleads Guilty To Conspiracy
Technology Maximum Dynamics Securities fraud To Defraud IRS And SEC" - States News Service
"SEC Charges MedQuist Inc. and Former Senior Executives with
Securities Fraud" - www.SEC.gov
Link too SEC Complaint -
http://www.sec.gov/litigation/complaints/2009/comp20949-
medquist.pdf
Link too SEC Complaint -
http://www.sec.gov/litigation/complaints/2009/comp20949-
donohoe.pdf
Link too SEC Complaint -
Over-billing schemes http://www.sec.gov/litigation/complaints/2009/comp20949-
Technology MedQuist Inc. Securities fraud kearns.pdf
"Marietta Woman Pleads Guilty To Money Laundering" - States
Technology MentorGen LLC Money Laundering News Service
Sector Company Scheme(s) Reference
"GSA Contractor NetApp Agrees to Pay U.S. $128 Million to
Technology NetApp Inc. Fraud Against the Government or Customers Resolve Contract Fraud Allegations" - www.USDOJ.gov
"SEC Charges Perot Company Employee In $8.6 Million Insider
Trading Scheme" - www.SEC.gov
Link to SEC Complaint -
Technology Perot Systems Insider Trading http://www.sec.gov/litigation/complaints/2009/comp21221.pdf
"RIM, Canadian regulator reach settlement" - Associated Press
Newswires
Link to SEC Complaint -
Technology Research in Motion Ltd. Backdating of Options http://www.sec.gov/litigation/complaints/2009/comp20902.pdf
Undefined - Asset overstatement/liability
understatement "Satyam Chmn Quits After Revealing Accts Fraud" - Dow Jones
Technology Satyam Computer Services Ltd. Undefined - Improper revenue recognition International News
"EU fines firms for fixing power-equipment prices" - The Wall Street
Technology Toshiba Corp. Antitrust Journal Europe
"SEC Charges Former Executives At Silicon Valley Company For
Inflating Financial Results" - www.SEC.gov
Link to SEC Complaint (re: Benjamin Silva, III) -
http://www.sec.gov/litigation/complaints/2009/comp21302-silva.pdf
Link to SEC Complaint (re: Diane Bjorkstrom) -
Early Delivery of Product http://www.sec.gov/litigation/complaints/2009/comp21302-
Technology Tvia Inc. Side Letter Agreements bjorkstrom.pdf
"SEC Charges Verifone For Artificially Inflating Its Income" -
Technology VeriFone Holdings Inc. Improper Valuation of Inventory www.SEC.gov
"AT&T Technical Services Corp. to Pay U.S. more than $8.2 Million
Antitrust to Settle False Claims Involving the E-Rate Program" -
Telecommunications AT&T Technical Services Corp. Fraud Against the Government or Customers www.USDOJ.gov
Securities fraud "Edward P. May Indicted In $200 Million Ponzi Scheme" - US Fed
Telecommunications E-M Management Co. LLC Wire Fraud News
Money Laundering "Jury Finds Innotek Corporation President Guilty Of Fraud" - US
Telecommunications Innotek Corp. Wire Fraud Fed News
"Latin Node Inc., Pleads Guilty to Foreign Corrupt Practices Act
Violation and Agrees to Pay $2 Million Criminal Fine" -
Telecommunications Latin Node Inc. Payments to Government Officials www.USDOJ.gov
"SEC Charges Qualcomm's Former Director Of Strategic Marketing
Analysis With Insider Trading" - www.SEC.gov
Link to SEC Complaint -
Telecommunications Qualcomm Inc. Insider Trading http://www.sec.gov/litigation/complaints/2009/comp21140.pdf
"S. Korea levies fine against Qualcomm" - The San Diego Union-
Telecommunications Qualcomm Inc. Antitrust Tribune (MCT)
Commercial Bribery "Korean Businessman Indicted in Bribery Conspiracy and Wire
Telecommunications Samsung Rental Co. Ltd. Wire Fraud Fraud Scheme Involving $206 Million Contract" - www.USDOJ.gov
Sector Company Scheme(s) Reference
"Bearish Outlook For CEO Arrested On Securities Fraud Charges" -
Telecommunications Skylynx Communications Securities fraud US Fed News
"Two Florida Executives, One Florida Intermediary and Two Former
Haitian Government Officials Indicted for Their Alleged Participation
Telecommunications Telecom Consulting Services Corp. Payments to Government Officials in Foreign Bribery Scheme" - www.USDOJ.gov
"Two Florida Businessmen Plead Guilty to Participating in a
Conspiracy to Bribe Foreign Government Officials and Money
Telecommunications Telecommunications D’Haiti Payments to Government Officials Laundering" - www.USDOJ.gov
"SEC Sues Ulticom And Former Ulticom Executive For Fraudulent
Options Backdating And Earnings Management Schemes" -
www.SEC.gov
Link to SEC Complaint -
http://www.sec.gov/litigation/complaints/2009/comp21091-
ulticom.pdf
Link to SEC Complaint -
http://www.sec.gov/litigation/complaints/2009/comp21091-
Telecommunications Ulticom Inc. Backdating of Options roberts.pdf
"SEC Charges California Telecom Company With Bribery And
Other FCPA Violations" - www.SEC.gov
Link to SEC Complaint -
Telecommunications UTStarcom Inc. Payments to Government Officials http://www.sec.gov/litigation/complaints/2009/comp21357.pdf
Disclosure Fraud through Financial Reports "SEC v. Osvaldo Pitters, Terrell J. Kuykendall and Steven M.
Sham Transactions - Related Party or Trial / Ivester, Civil Action No. 09-20957 CIV-GRAHAM (S.D. Fla., April
Telecommunications VoIP Inc. Evaluation Products and Other 13, 2009)" - www.SEC.gov
"LAN Cargo S.A., Aerolinhas Brasileiras S.A. and EL AL Israel
Airlines Ltd. Agree to Plead Guilty for Fixing Prices on Air Cargo
Transportation and Logistics Aerolinhas Brasileiras S.A. Antitrust Shipments" - www.USDOJ.gov
"SEC Files Settled Regulation FD Charges Against Former Chief
Financial Officer" - www.SEC.gov
Link to SEC Complaint -
Transportation and Logistics American Commercial Lines Inc. Disclosure Fraud through Financial Reports http://www.sec.gov/litigation/complaints/2009/comp21222.pdf
"APL Ltd. to Pay U.S. $26.3 Million to Resolve Fraud Allegations for
Fraud Against the Government or Customers Inflated Shipping Costs to Military in Iraq and Afghanistan" -
Transportation and Logistics APL Limited Over-billing schemes www.USDOJ.gov
"Three International Airline Companies Agree to Plead Guilty to
Transportation and Logistics Asiana Airlines Inc. Antitrust Price Fixing on Air Cargo Shipments" - www.USDOJ.gov
Birkart Globistics GmbH & Co. Logistik and "United States Settles Claims Alleging Bid Rigging Conspiracy with
Transportation and Logistics Service KG Antitrust Two German Moving Companies" - www.USDOJ.gov
"Cashing in with credit cards; Charges Include Concert Tickets,
Transportation and Logistics Blue Grass Airport Personal purchases Golf Lessons" - The Lexington Herald Leader
"Ex-airport officials indicted in Lexington" - Associated Press
Transportation and Logistics Blue Grass Airport Business Expenses Fraud Newswires
"Three International Airline Companies Agree to Plead Guilty to
Transportation and Logistics Cargolux Airlines International S.A. Antitrust Price Fixing on Air Cargo Shipments" - www.USDOJ.gov
Former Continental Express executive found guilty of conspiracy" -
Transportation and Logistics Continental Express Inc. Theft of Checks Associated Press Newswires
Sector Company Scheme(s) Reference
"LAN Cargo S.A., Aerolinhas Brasileiras S.A. and EL AL Israel
Airlines Ltd. Agree to Plead Guilty for Fixing Prices on Air Cargo
Transportation and Logistics EL AL Israel Airlines Ltd. Antitrust Shipments" - www.USDOJ.gov
"Spanaway Woman Sentenced To 20 Months In Prison For Wire
Transportation and Logistics Freightco Logistics Wire Fraud Fraud" - US Fed News
"Japanese Corporate Operator of Cargo Vessel Sentenced to Pay
$1.75 Million for Conspiracy and Falsifying Records" -
Transportation and Logistics Hiong Guan Navegacion Japan Co. Ltd. Environmental or Health or Safety Violations www.USDOJ.gov
"United States Settles Claims Alleging Bid Rigging Conspiracy with
Transportation and Logistics ITO Möbel Transport GmbH Antitrust Two German Moving Companies" - www.USDOJ.gov
"LAN Cargo S.A., Aerolinhas Brasileiras S.A. and EL AL Israel
Airlines Ltd. Agree to Plead Guilty for Fixing Prices on Air Cargo
Transportation and Logistics LAN Cargo S.A. Antitrust Shipments" - www.USDOJ.gov
"SEC's Miami Regional Office Charges Six Defendants With Insider
Transportation and Logistics Neff Corp. Insider Trading Trading In Neff Corporation" - www.SEC.gov
"Three International Airline Companies Agree to Plead Guilty to
Transportation and Logistics Nippon Cargo Airlines Co. Ltd. Antitrust Price Fixing on Air Cargo Shipments" - www.USDOJ.gov
Antitrust
Transportation and Logistics Sea Star Line Related Party Transactions "Jones Act and jail time" - Journal of Commerce
Aiding & Abetting
Money Laundering
Recording Fictitious Transactions "South Carolina Man Indicted In $4 Million Fraud Scheme" - US
Transportation and Logistics Southern Logistics and Distribution Inc. Wire Fraud Fed News
Disbursement of company funds including the
issuance of false credits or refunds or rebates and
Consolidated Edison Corporation of New bribes to legitimate vendors for which the employee "Ten Supervisors, One Former Con Ed Employee Charged In
Utilities York Inc. receives a kickback Kickback Scheme" - US Fed News
"Entergy says it sold power to Miss. from Louisiana and rate payers
Utilities Entergy Corp. Over-billing schemes might have been affected" - Associated Press Newswires