February 24, 2010
The New York State Attorney General Andrew M. Cuomo Announces Auction Rate Securities Settlement With Oppenheimer & Co. Inc.
… retains the right to charge Oppenheimer under New York’s Martin Act should it determine that Oppenheimer’s future efforts are …
February 08, 2010
Attorney General Andrew M. Cuomo Secures Agreements With Two Major Investment Firms In Ongoing New York State Pension Fund Investigation
… Ramirez pled guilty to a securities fraud charge under the Martin Act, pursuant to a plea and cooperation agreement with the … placement agent Julio Ramirez, Jr. have pled guilty to Martin Act securities fraud charges for conduct related to …
February 18, 2010
The New York State Attorney General Andrew M. Cuomo Announces $2.75 Million Insider Trading Settlement With Former Ubs Top Executive David Shulman
… resolves charges that Shulman violated New York’s Martin Act.  Under the settlement, Shulman will pay $2.75 million to …
February 17, 2010
The New York State Attorney General Andrew M. Cuomo Secures Agreements With Two Major Investment Firms In Ongoing New York State Pension Fund Investigation
… placement agent Julio Ramirez, Jr. have pled guilty to Martin Act securities fraud charges for conduct related to the …
February 24, 2010
The New York State Attorney General Andrew M. Announces Auction Rate Securities Settlement With Oppenheimer & Co. Inc. - OppenheimerAOD
… pursuant to Article 23-A of the General Business Law (the “Martin Act”) and Section 63(12) of the Executive Law of New York, of … and practices of Oppenheimer violated provisions of the Martin Act, Article 23-A of the General Business Law. 15. The …
February 18, 2010
The New York State Attorney General Andrew M. Announces $2.75 Million Insider Trading Settlement With Former Ubs Top Executive David Shulman - Shulman AOD
… 63(12) and Article 23-A ofthe General Business Law (the "Martin Act"), the sale and marketing ofauction rate securities by … $30 billion ,in illiquid investments. Shulman Violated the Martin Act 35. Shulman's trading and conduct violated Section …
February 17, 2010
The New York State Attorney General Andrew M. Secures Agreements With Two Major Investment Firms In Ongoing New York State Pension Fund Investigation - Freeman Agreement
… pursuant to Article 23-A of the General Business Law (the "Martin Act"), into allegations of "pay-to-play" practices and … with enterprise corruption and multiple violations of the Martin Act, money laundering, grand larceny, falsifying …
February 04, 2010
The New York State Attorney General Andrew M. Files Fraud Charges Against Bank Of America, Former Ceo Kenneth Lewis, And Former Cfo Joseph Price - BoA Complaint
… firm, Wachtell, Lipton, Rosen & Katz, determined the Bank should disclose the losses. The lawyers discussed the date of … Merrill’s losses for the entire quarter could exceed what occurred in its prior five quarters, a range between … have known of an additional $2.3 billion in goodwill write- downs that brought the total to over $14 billion. By …

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