A. SEC Charges Bahamas-Based Brokerage Firm and President With Enabling Fraud by Hedge Fund Manager.
| Autor: | Zagaris, Bruce |
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| Zdroj: | International Enforcement Law Reporter; Nov2014, Vol. 30 Issue 11, p420-421, 2p |
| Abstrakt: | The article informs that the U.S. Securities and Exchange Commission (SEC) has charged a Bahamas-based brokerage firm, Alliance Investment Management Limited (AIM) and its president Julian R. Brown for fraud. It informs Alternative investment manager of the firm Nikolai Battoo's assets were sealed by SEC for defrauding investors. It also informs that Brown and AIM misrepresented themselves to investors of Battoo and provided regular false account statements. |
| Databáze: | Complementary Index |
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