February 02, 2016
A.G. Schneiderman Announces Convictions Of Orange County Man For Stealing Hundreds Of Thousands In Investment Scheme
… class "D" felony), and three counts of violations of the Martin Act (a class "E" felony).  Thereafter, in July 2015, the … (a class "D" felony), and one count of violation of the Martin Act (a class "E" felony). On December 21, 2015, Vogt …
February 16, 2016
A.G. Schneiderman Announces Conviction And Sentencing Of Albany Broker For Running Decade-Long, $5 Million Ponzi Scheme
… Class C felony), one count of Securities Fraud under the Martin Act (a Class E felony), and one count of Scheme to Defraud in …
February 01, 2016
A.G. Schneiderman Announces Landmark Resolutions With Barclays And Credit Suisse For Fraudulent Operation Of Dark Pools; Combined Penalties And Disgorgement To State Of New York And Sec Of Over $154 Million
… the Attorney General’s jurisdiction under New York’s Martin Act.   Barclays will also install an independent monitor to …
February 01, 2016
NYAG-Amended-Complaint
… minimize the likelihood that high frequency traders would act as counterparties. In short, Barclays represented that … to, among other authorities, the provisions of the Martin Act, General Business Law §§ 352 et seq, which provide … 5, 2012, a draft version of the analysis was circulated by Martin Lujan, a Barclays analyst, to senior executives in …
February 08, 2016
Effects of the Expiration of Emergency Regulations Concerning Protections for Senior and Disabled Tenants During Condominium or Cooperative Conversions (02/08/2016)
… document pursuant to State Administrative Procedure Act (S.A.P.A.) § 102(14). This guidance document discusses … conversion process in accordance with the intent of the Martin Act. The revised regulations simply clarify that such …

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