Tag: Southern District of New York

Regulation November 17, 2020

NYC Investment Fund Manager Convicted of Multiple Fraud Charges

Donald LaGuardia faces a maximum of 45 years in prison for misappropriating funds and lying to investors.

Regulation November 9, 2020

Terrence Chalk, aka Dr. Cash, allegedly hid his criminal past to defraud investors out of more than $4 million.

Manager Selection November 3, 2020

John Paulsen planned ski trip for New York state pension fund fixed-income director in exchange for business directed to firm.

Alternatives October 23, 2020

Marc Lawrence faces maximum of 60 years in prison for his role in Ponzi-like scheme.

Regulation October 16, 2020

Paul Rinfret pleaded guilty to defrauding investors of more than $19 million

Regulation October 15, 2020

Former SAExploration CEO faces up to 65 years in prison in connection with alleged scheme.

Regulation October 12, 2020

Creator of anti-virus software allegedly secretly received over $23 million for promoting initial coin offerings.

Regulation October 6, 2020

Fred Elm falsely told investors they could invest in Twitter, Alibaba, and Uber prior to their IPOs.

Risk September 23, 2020

Adam Rogas could face up to 45 years in prison for his alleged role in a $123 million securities fraud scheme.

Risk September 22, 2020

Prosecutors allege their firm, ‘Fraud Guarantee,’ was a guaranteed fraud.

Risk September 18, 2020

Randy Levine, a man of many aliases, had been on the lam for 15 years before getting caught in Austria.

Risk August 21, 2020

Scammers allegedly used investor funds to buy cars, jewelry, and luxury homes.

Regulation July 24, 2020

Sam Sharma could face up to 15 years in prison for defrauding victims of $25 million.