March 04, 2014
A.G. Schneiderman Announces Arraignment Of Wall Street Advisor For Stealing $4.3m From Investors
… records, as well as securities fraud violations under the Martin Act. If convicted, Lim faces up to 25 years in prison. Lim's … "D" felony), five counts of Securities Fraud under the Martin Act (a Class "E" felony) and 19 counts of Falsifying …
March 26, 2014
A.G. Schneiderman Announces Former CEO Kenneth Lewis Barred For 3 Years From Serving As Officer Or Director Of Any Public Company
… sued by former Attorney General Andrew Cuomo under the Martin Act and the Executive Law. The lawsuit alleges that they …

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