| 2013 I 2012 I 2011
I 2010
I 2009 I 2008 I 2007
I 2006 I 2005 I 2004
I 2003 |
 |
|
| May 21, 2013 |
Executive Indicted on Charges He Stole Over $230,000 in Investor Funds Raised for His Biotech/Medical Firms in Bergen County, N.J. - New Jersey Bureau of Securities previously sued Thomas J. Fagan for defrauding investors of $9.5 million by selling unregistered stock in one of the companies
|
| May 2, 2013 |
Newark-Based Broker-Dealer Self Reports Securities Violations; Agrees to Pay $100,000 Plus Restitution, Under Settlement With the N.J. Division of Consumer Affairs’ Bureau of Securities
|
| April 22, 2013 |
N.J. Bureau of Securities Announces Launch of Modernized Investment Adviser Examination Process
|
| March 18, 2013 |
New Jersey Bureau of Securities Issues Investor Alert: “Profitable Sunrise” is Unregistered, Questionable Scheme
|
| March 13, 2013 |
New Jersey Division of Consumer Affairs Announces Settlement with Canadian Investment Bank -- RBC Capital Markets Agrees to $450,000 Settlement with Bureau of Securities for Failing to Review Accounts Used in Multi-Million Dollar Ponzi Scheme
|
| February 21, 2013 |
New Jersey Bureau of Securities Cautions Military Families to Be on Guard Against Fraud
|
| February 21, 2013 |
New Jersey Bureau of Securities Helps Investors Talk the Talk about Savings and Investing - ‘Conversation Starters’ Program Spotlighted During America Saves Week
|
| January 7, 2013 |
New Jersey Division of Consumer Affairs Announces $100,000 Civil Penalty in Bureau of Securities Action Against South Jersey Resident Who Defrauded Investors
|
| |
|
| 2013 I 2012
I 2011 I 2010 I 2009 I 2008 I 2007 I 2006 I 2005 I 2004 I 2003 |
|
|
| August 8, 2012 |
Attorney General Chiesa, N.J. Division of Consumer Affairs, and N.J. Bureau of Securities Announce Suit Against Investment Firm for Alleged $12 Million Fraud
|
| July 17, 2012 |
N.J. Bureau of Securities Files Suit Against Passaic County Company and Three Executives for Allegedly Defrauding Investors of $1.4 Million
|
| June
28, 2012 |
N.J.
Bureau of Securities Commences Regulation of Additional Investment
Advisers Today - State Oversight Accomplished Through Industry
Outreach and Additional Bureau Resources |
| June
15, 2012 |
June
15 is World Elder Abuse Awareness Day - New Jersey Division
of Consumer Affairs and its Bureau of Securities Urges Citizens
to Report Elder Abuse “Crime of the 21st Century”
Costs Victims $2.9 Billion Per Year
|
| May
8, 2012 |
South
Jersey Couple Who Defrauded Investors Agree to Pay Restitution
and Civil Penalty |
| Feb.
6, 2012 |
Following
Trial Verdict, Affirmative Civil Enforcement Litigation Group
Obtains Court Order on Behalf of Bureau of Securities Imposing
Civil Penalties and Restitution for Investors |
| Feb.
1, 2012 |
New
Jersey Division of Consumer Affairs and its Bureau of Securities
Caution Investors Not to Stumble When Interest Rates Fall Flat |
| |
|
| 2013 I 2012
I 2011 I 2010
I 2009 I 2008 I 2007
I 2006 I 2005 I 2004
I 2003 |
|
|
| Nov.
30, 2011 |
New
Jersey Division of Consumer Affairs and its Bureau of Securities
Announce $400,000 Civil Penalty In Investor Fraud Case Against
a Purported Alternative Energy Company |
| Nov.
7, 2011 |
Philadelphia
Lawyer with Office in Cherry Hill, N.J., Indicted on Charges
He Stole More than $1 Million from Client |
| Nov.
7, 2011 |
New
Jersey Division of Consumer Affairs Announces Fraud Charges
in Lawsuit Filed by Bureau of Securities, Alleging $8.5 Million
Fraudulent Scheme Targeting Elderly Investors |
| Oct.
4, 2011 |
N.J. Division of Consumer Affairs Announces Wachovia and Raymond
James to Repurchase Auction Rate Securities and Pay $3.26 Million
in Civil Penalties under Separate Consent Orders Issued by Bureau
of Securities |
| Sept.
2, 2011 |
New
Jersey Division of Consumer Affairs’ Bureau of Securities
Obtains Asset Freeze and Removal of CEO from Bergen County Companies,
In Lawsuit Alleging Investor Fraud |
| August
23, 2011 |
Cons
Find Profit in Get-Rich-Quick Schemes Tied to Economic Uncertainty
- N.J. Bureau of Securities Identifies Threats Among Financial
Products and Practices |
| August
3, 2011 |
New
Jersey Division of Consumer Affairs Announces Credit Suisse
Securities (USA) to Repurchase Auction Rate Securities and Pay
$1 Million in Civil Penalties under Consent Order Issued by
Bureau of Securities |
| July
19, 2011 |
New
Jersey Attorney General and Division of Consumer Affairs Announce
Bureau of Securities Lawsuit Against Bergen County Companies
and Their CEO/Managing Member for Alleged Investor Fraud |
| June
21, 2011 |
State
Division of Consumer Affairs Announces Appointment of Abbe R.
Tiger as New Chief of its Bureau of Securities |
| June
20, 2011 |
State
Division of Consumer Affairs, Through Its Bureau of Securities,
Takes Disciplinary Actions Against Two Financial Advisors
|
| May
19, 2011 |
Division
of Consumer Affairs and its Bureau of Securities Announce $1.9
Million Settlement with Portuguese Bank |
| May
16, 2011 |
Goldman
Sachs and Wells Fargo Investments Agree to Repurchase
$26.9 Million in Auction Rate Securities from N.J. Investors,
Division of Consumer Affairs Announces |
| April
21, 2011 |
Division
of Consumer Affairs Announces Settlement: Morgan Stanley and
TD Ameritrade Agree to Repurchase Over $338 Million in Auction
Rate Securities from N.J. Investors
|
| April
12, 2011 |
Division
of Consumer Affairs Reaches $8.25 Million Settlement With Union
County Firm that Defrauded Investors
|
| April
6, 2011 |
$1.54
Million Being Returned to Investors Defrauded by Robert Brennan
|
| February
8, 2011 |
UBS
to Repurchase $1.5 Billion in Auction Rate Securities from N.J.
Investors, Under Division of Consumer Affairs Settlement |
| January
14, 2011 |
Garfield
Man Sentenced to Nine Years in Prison for Defrauding Investors
Who Bought Stock in His Horseshoe Venture - Hundreds of
investors lost $1.7 million in failed venture
|
|
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|
| December
21, 2010 |
Attorney
General’s Office Files Suit Against South Jersey Investment
Firm for Allegedly Defrauding Investors of $40 Million
|
| December
7, 2010 |
N.J.
Bureau of Securities Revokes Two Brokers and Suspends Another
for Multi-Million Dollar Misappropriation and Undisclosed Investment
of Funds; Clients Included Major League Baseball Players
|
| November
9, 2010 |
Stifel
Nicolaus to Repurchase $5.4 Million in Auction Rate Securities
from N.J. Investors
|
November
8, 2010 |
Jackson
Woman Sentenced to 10 Years in State Prison for Defrauding Investors
of $925,000 |
October
25, 2010 |
Garfield
Man Pleads Guilty to Defrauding Investors Who Bought Stock in
His Horseshoe Manufacturing Venture - Hundreds of investors
lost $1.7 million in failed venture |
September
16, 2010 |
New
State Law Protects Senior Investors from Deceptive Advisors
Who Use Bogus “Senior Adviser” Titles
|
September
9, 2010 |
JPMorgan
Chase & Co. Pays $1.1M to New Jersey Bureau of Securities
to Settle Auction Rate Securities Case |
September
1, 2010 |
Bedminster-Based
Investment Company Assessed $75,000 Penalty For Violations
at South Jersey Branch Office |
August
11, 2010 |
New
Online Service Provides Background Information About Investment
Adviser Representative |
August
10, 2010 |
N.J.
Bureau of Securities and Merrill Lynch Reach Settlement Over
Stock Trades by Unregistered Employees |
July
7, 2010 |
N.J.
Bureau of Securities Files Suit Against Former South Jersey
Company and its Principals |
April
22, 2010 |
Court
Grants Attorney General's Request to Shut Livingston Investment
Firm and Freeze its Assets Amid Fraud Allegations
|
April
7, 2010 |
Regal
Securities Assessed $10,000 Civil Penaty for Allowing Unregistered
Agents to Conduct Investment Transactions |
April
7, 2010 |
Merrill
Lynch to Pay N.J. $4.87 Million to Settle Auction Rate Securities
Investigation |
February
9, 2010 |
Bank
of America to Repurchase $386 Million in Auction Rate Securities
from N.J. Investors and Pay Civil Penalty |
February
8, 2010 |
RBC
to Repurchase $51 Million in Auction Rate Securities from N.J.
Investors |
January
15, 2010 |
$5.15
Million Available to Investors Defrauded by Robert Brennan
|
|
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|
September
30, 2009 |
Spring
Lake Resident Ordered to Pay $5.1 Million in Penalties and Restitution
for Fraudulently Pushing Penny Stock |
September
3, 2009 |
Judge
Finds Monmouth County Company Defrauded Investors via a Ponzi
Scheme, Orders $7 Million to be Paid in Restitution
|
July
21, 2009 |
Garfield
Man Charged with Defrauding Investors of $1.7 Millon by Selling
Unregistered Stock in Horseshoe Manufacturing Venture
|
June
3 , 2009 |
Deutsche
Bank Securities Inc. Pays $1M to the New Jersey Bureau of Securities
to Settle Auction-Rate Securities Case |
May
28, 2009 |
Three Men Who Targeted Wyckoff Church Members Reach Settlements
with the N.J. Bureau of Securities |
May
20, 2009 |
Citigroup Pays $3.3M to New Jersey Bureau of Securities to Settle
Auction Rate Securities Case |
April
6, 2009 |
New
N.J. Bureau of Securities Chief Starts Work Today
|
March
9, 2009 |
Attorney
General Announces Lawsuit Against Unregistered Investment Firm
Accused of Defrauding $15 Million from Clients
|
February
20, 2009 |
New
Jersey's Bureau of Securities Targets Financial Scams Against
Military Members |
February
2, 2009 |
State
Permanently Bars Three Securities Brokers for Market Timing
Violations and Assesses $1.15 Million in Civil Penalties
|
|
|
|
|
|
December
23, 2008 |
Former
Financial Advisor Pleads Guilty to Misusing &7,100 from Non-profit
Foundation |
December
18, 2008 |
State
and Federal Authorities Arrest Salem County Investment Broker
for Defrauding Eldery Citizens Out of $1.3 Million
|
November
25, 2008 |
N.J.
Bureau of Securities Revokes Registrations of Two Agents Who
Defrauded Elderly Investors |
August
27, 2008 |
N.J.
Bureau of Securities Files Suit Against Burlington County Resident
Who Defrauded Investors |
August
15, 2008 |
N.J.
Bureau of Securities Participates in Auction Rate Securities
Settlement With Wachovia |
August
14, 2008 |
N.J.
Bureau of Securities Participates in Auction Rate Securities
Settlement with Morgan Stanley and J.P. Morgan
|
August
8, 2008 |
Bureau
of Securities Files Suit Against Scammers Who Targeted Wyckoff
Church Members |
August
7, 2008 |
N.J.
Bureau of Securities Participates in Settlement With Citigroup
|
May
19, 2008 |
Defendant
Agrees to Pay $275,000 to Settle Stock Fraud Lawsuit
|
March
20, 2008 |
International
Securities Fraud Ring Uncovered By N.J. Bureau of Securities
|
March
20, 2008 |
States
Files Suit Against Monmouth County Investment Company; Investors
Lost $12 Million in Ponzi Scheme |
March
7, 2008 |
Monmouth
County Man Indicted On Charges Of Securities Fraud, Theft And
Money Laundering For Stealing $690,000 From Investors
|
February
14, 2008 |
Couple
Accused of Stealing Investments from Philadelphia Philanthropist
Barred from the N.J. Securities Industry |
February
13, 2008 |
N.J.
Bureau of Securities Reminds Investors that Scams Often Hide
Behind Today's Headlines |
January
11, 2008 |
Defendants
Ordered to Pay $7.95 Million In Investor Restitution and Civil
Penalties in Securities Fraud Case |
|
|
|
|
|
October
12, 2007 |
Vincent
J. Oliva Appointed Chief of the N.J. Bureau of Securities
|
September
27, 2007 |
Couple
Indicted for Allegedly Stealing More than $500,000 from Clients
of Their Investment Firm |
July
24, 2007 |
Citigroup/Smith
Barney Pays $5 Million to State of New Jersey for Failure to
Supervise Certain Agents Engaged in Deceptive Market Timing
Activities |
July
19, 2007 |
Citigroup/Smith
Barney Pays $978,000 For Failure to Supervise Employees Involved
With Unsuitable Short Selling Strategy |
February
15, 2007 |
N.J.
Bureau of Securities Obtains Restitution for Defrauded Investor
Defunct Securities Dealer Operated from Monmouth County
and Texas |
|
|
|
|
|
October
13, 2006 |
Penny
Stock Digital Gas (DIGG.PK), Three Individuals Ordered to Cease
Securities Related Activities, Asset Frozen |
October
4, 2006 |
First
Montauk Pays $475,000 to Settle Investigation with New Jersey
as Chairman and Vice Chairman Agree to Resign from Parent Company |
September
7, 2006 |
New
Jersey to Receive $561,458 in Wachovia Settlement Multistate
Enforcement Action Alleged Failure to Supervise Agents and Failed
to Maintain Required Electronic Communications |
August
28, 2006 |
Prudential
Securities, Inc. Ordered to Pay $270 Million in Restitution
|
August
9, 2006 |
State
Obtains Restitution Judgments for Investors in Excess of $69
Million in Securities Fraud Scheme |
March
1, 2006 |
State
Sues Spanlogix, Inc. and its Principals for Allegedly Defrauding
Overseas Investors of $840,000 |
January
24, 2006 |
New
Jersey Obtains $5 Million Judgement Against South Jersey Man
Who Defrauded Investors Through Two Securities Scams |
January
19, 2006 |
New
Jersey's Top Securities Investigator, Richard Barry, Named Enforcer
of the Year by North American Securities Administrators Association.
|
January
17, 2006 |
Attorney
General Peter C. Harvey Reaches $10 Million Settlement
with Canary Capital and Edward Stern Over Late Trading, Market
Timing
|
January
12, 2006 |
Attorney
General Peter C. Harvey Announces $50 Million Settlement with
UBS Financial Services |
|
|
|
|
|
December
12, 2005 |
Attorney
General Peter C. Harvey Brings Lessons In Investing To New Jersey
Students |
June
29, 2005 |
Attorney
Generag Harvey Reaches Agreement with American Express Financial
Advisors Inc. |
April
15, 2005 |
Attorney
General Harvey Shuts Down Fraudulent Internet Securities Boiler
Room |
March
24, 2005 |
Attorney
General Warns Investors of Top 10 Scams for 2005 |
March
15, 2005 |
Attorney
General Harvey Revokes Licenses of Three New Jersey Brokers;
Seeks Penalties for Their Deceptive Practices in Trading of
Mutual Funds as Agents of Ubs Paine Webber and Merrill Lynch
|
March
8, 2005 |
Attorney
General Harvey Reaches Agreement with
Merrill Lynch Covering Securities Practices |
January
13, 2005 |
Attorney
General Sues New York Man Who Allegedly Obtained $42 Million
From Investors In Massive Securities Fraud Scheme |
|
|
|
|
|
October
26, 2004 |
Media
Advisory - Attorney General Sponsors Major Forum to Protect
Seniors |
October
8, 2004 |
Chief
of N.J. Bureau of Securities Named President of North American
Securities Administrators Association |
August
26, 2004 |
Deutsche
Bank Securities and Thomas Weisel Partners Enter lnto Multi-Million
Dollar Agreement |
August
23, 2004 |
Warning
alerting New Jersey residents about a possible investment scam
involving stock tips from strangers on your answering machine.
|
June
1, 2004 |
Attorney
General Harvey Announces $18 Million Settlement with Allianz
Dresdner Asset Management of America, PA Distributors and PEA
Capital |
May
17, 2004 |
Attorney
General Obtains Court Order Freezing Assets of Ocean County
Man and Firms He Allegedly Used to Defraud Investors of Millions |
May
14, 2004 |
Attorney
General Sues South Jersey Man Who Allegedly Swindled
Investors Out of $1.6 Million Through Two Securities Scams |
April
26, 2004 |
Attorney
General Obtains Order Freezing Assets of Toms River
Man Who Allegedly Defrauded Elderly Investors of $360,000 in
Savings |
April
15, 2004 |
Bureau
of Securities Seeks Penalties Against Unregistered Broker-Dealer
in Toms River |
April
15, 2004 |
Bureau
of Securities Obtains Restitution Order For Clients of Hazlet
Investment Firm |
April
5, 2004 |
Attorney
General Seizes Assets of New Jersey Con Men Who Defrauded British
Nationals of More Than $55 Million in Defense Industry Investment
Scam |
March
17, 2004 |
Attorney
General Obtains Court Order Freezing Assets of Ocean County
Man and Firms He Allegedly Used to Defraud Investors of Millions |
February
18, 2004 |
Restitution
for Investment Fraud Victims Advances Court Grants State Request
to Freeze Assets, Appoint Receiver |
February
18, 2004 |
New
Jersey Bureau of Securities Bars Gloucester County Man From
Securities Industry |
February
17, 2004 |
Attorney
General Harvey Charges PIMCO Mutual Fund Family with Fraudulent
Market Timing Arrangement |
February
3, 2004 |
Ocean
County Man Sued For Securities Fraud State and Federal Authorities
Target Man Who Stole Hundreds of Thousands of
Dollars from Victims Who Invested in His Invention |
January
14, 2004 |
Investors
Warned of Top 10 Scams for 2004 |
|
|
| 2013 I 2012
I 2011
I 2010
I 2009 I 2008 I 2007
I 2006 I 2005 I 2004
I 2003 |
|
|
July
17, 2003 |
Bureau
Chief's Letter Regarding Horse Syndications, July 17, 2003 |
|
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