January 26, 2017
A.G. Schneiderman Announces Prison Sentence 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).  The case was prosecuted by …
January 10, 2017
A.G. Schneiderman Announces Convictions Of Albany Insurance Broker In Securities Fraud Scheme And Wife In Life Insurance Scam
… class D felony), ten counts of Securities Fraud under the Martin Act (a class E felony), one count of Scheme to Defraud in the … Degree, (a class C felony), Securities Fraud under the Martin Act (a class E felony), and Repeated Failure to File …
January 09, 2017
A.G. Schneiderman Secures Agreement With Hedge Fund Manager Who Misled Investors About Investment Risks
… that Au’s misrepresentations and omissions violated the Martin Act and Executive Law § 63(12). Through the Gondor funds, Au …
January 12, 2017
2017.01.12_cgmi_fully_executed_aod.pdf
… to Section 352 et seq. of the General Business Law (the “Martin Act”) and Executive Law § 63(12) into the overcharging of … in its clients’ managed investment accounts violated the Martin Act and Executive Law § 63(12). 22. CGMI has fully …

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