October 24, 2011
A.G. Schneiderman Announces Multi-million Dollar Settlement With Banco Espírito Santo S.A. Over Unregistered Recommendation And Sale Of Securities
… their employees as salesmen, as required under New York’s Martin Act. Under the agreement, BES will cease and desist from any further violations of the Martin Act and Executive Law § 63(12), offer to make its …
October 04, 2011
A.G. Schneiderman & NYC Sue Bank Of New York Mellon For Defrauding Pension Funds, Other Customers In Foreign Currency Trading
… in 2009.  In compliance with the New York False Claims Act, the whistleblower’s complaint was filed under seal while … office include securities violations under New York’s Martin Act.  This lawsuit represents the first time that the … Office has applied both its False Claims Act and the Martin Act in the same case.  The complaint also asserts that …

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