In October 2010 Financial Industry Regulatory Authority has published that Douglas Joe Barker was fined for $125,000 and suspended from association with any FINRA member in any capacity for six months.
British Columbia Securities Commission panel on October 18, 2010 granted an application by the Icahn Group to cease trade a shareholder rights plan adopted by Lions Gate Entertainment Corp. on July 1, 2010.
On October 15, 2010 the British Columbia Securities Commission (BCSC) reported that on March 12, 1999, the Executive Director made an order under section 164 of the Securities Act, R.S.B.C. 1996, c. 418 (the Act) that Robert Lockwood cease trading in the securities of Inspiration Mining Corporation for failure to file a personal information form within 90 days of becoming a director and officer of Inspiration.
On October 20, 2010 Financial Services Authority published that the the Financial Services and Markets Tribunal has issued its decision in the matter of Andre Jean Scerri and the Financial Services Authority. The Tribunal decided that it was appropriate to impose a financial penalty of £66,062.50 for market abuse.
On October 21, 2010 Australian Securities and Investment Commission published that Christopher Ross Adams has been registered in the List of Banned & Disqualified Persons.
On October 14, 2010 Australian Securities and Investment Commission published that Former director of WHL Energy Ltd, Dr Jeffery James Bateson, has pleaded guilty to one charge of insider trading following an ASIC investigation.
On October 07, 2010 Australian Securities and Investment Commission published that the Administrative Appeals Tribunal (AAT) has upheld the decision of ASIC to ban Mr. Joshua David Fuoco of North Fitzroy, Victoria, from providing financial services for five years. ASIC banned Mr Fuoco in January 2010, after an investigation into the Dollarforce Group of companies, in particular Elite Equities Limited (Elite) and Mr Fuoco.
On October 20, 2010 the Securities and Exchange Board of India conducted an investigation in respect of buying, selling and dealing in the shares of Mega Corporation Limited for the period from January, 25 2005 to September, 16 2005. The price of scrip of MCL witnessed a sprut in price and volume.
On October 18, 2010 the Securities and Exchange Board of India conducted an investigations into the affairs, trading and dealing in the shares of Gemstone Investments Limited for the period from August 28, 2006 to August 21, 2008 on the basis of report received from Bombay Stock Exchange Ltd. regarding susbtantial reduction in the shareholding of the promoters of the Company and unusual spurt in price and traded volume of the scrip.
On October 18, 2010 the Securities and Exchange Board of India reported that the shares of Alpha Hi Tech Fuel Limited are listed on the Bombay Stock Exchange. SEBI conducted an investigation into the affairs relating to buying and selling or relating to shares of Alpha. The investigation covered the period from November, 24 2004 to February, 09 2005.
1. American Aircarriers Support Inc.
2. American Artists Entertainment Corp.
3. American Complex Care Inc.
4. American Prepaid Legal Services Inc.
5. Amtech Financial Corp.
On October 22, 2010 the Securities and Exchange Board of India (SEBI) published that the Oasis Media Matrix Limited forfeited 2,14,57,000 shares out of public issues of 5,26,22,700 in the year 2003 i.e. about 40% of the share capital due to non-payment of call money.
On October 22, 2010 the Securities and Exchange Board of India published that SEBI conducted an investigation into the dealings in the scrip of Fast Track Entertainmaent Limited for the period from January 01, 2004 to June 30, 2004.
On October 21, 2010, the National Futures Association (NFA) reported that BCC issued a Complaint to NFA Member Oxford Trading Group and five individuals, including Welds and Gibbs. The Complaint alleged that Gibbs made deceptive and misleading sales presentations to a customer, in violation of NFA Compliance Rules 2-2(a) and 2-29(a) (1), and that both Gibbs and Welds recommended trades that maximized commissions without regard for the best interests of their customers, in violation of NFA compliance Rule 2-4.
On October 21, 2010 Saskatchewan Financial Services Commission (SFSC) published that it issued a temporary order dated November 17, 2009 against West African Industries Ltd., Allan Moen and Louis Supera.
USA: FINRA suspends Iowa individual USA: New York based agent fined by NYSID USA: NYSID revokes license of agent Australia: ASIC issues list of disqualified individuals USA: FRB files supervisory action against company USA: Enforcement action against Progress Bank of Florida and its principal USA: FINRA files disciplinary actions against individual USA: FINRA suspends New Jersey individual USA: SEC charges individuals in Ponzi scheme USA: Companies and three senior officers to pay $14 million in fines, disgorgement USA: FINRA takes actions against Seaboard Securities, Inc. and its principal USA: Florida individual suspended by FINRA United Kingdom: FSA warns investors against unauthorized firm and an individual Hong Kong: Former licensee fined by SFC About Us USA: FINRA bars New York registered principal USA: FRB files supervisory action against Illinois company USA: FRB takes supervisory action against company and its chairman India: CSE cancels Certificate of Registration of a member USA: Five individual charged with insider trading by SEC 
Medical License Verification Fake Certificates Blog India Criminal Records Pakistan Criminal Records
English