by activetracks | Nov 26, 2017 | Uncategorized
Excerpted from SEC.gov: Investor Alert: Beware of False or Exaggerated Credentials 06/03/2015 The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Alert to warn investors that fraudsters may misrepresent their backgrounds and experience...
by activetracks | Nov 26, 2017 | Uncategorized
Excerpted from investmentnews.com “The Securities and Exchange Commission filed two cases Wednesday against purported investment advisers who falsified their credentials. In a related investor alert, the regulator warned of such misrepresentation and suggested...
by activetracks | Nov 26, 2017 | Uncategorized
Excerpted from AJC.com… Pension funds for Atlanta police, firefighters, transit workers and other employees were defrauded by their investment advisory firm, the U.S. Securities and Exchange Commission alleged Thursday in order triggering an administrative...
by activetracks | Nov 26, 2017 | Uncategorized
Executives serving on charity boards, and those deciding which charities to donate to, have a responsibility to conduct thorough due diligence on the organization and its leaders. Call ActiveTracks at 800-311-6075 or email us to learn how we can help. In one of the...
by activetracks | Nov 26, 2017 | Uncategorized
As excerpted from FBI.gov. BATON ROUGE, LA—United States Attorney Walt Green announced today that JAMES R. HOLDMAN, age 59, of Zachary, Louisiana, was sentenced yesterday before U.S. District Judge James J. Brady to sixty (60) months’ imprisonment as a result of a...
by activetracks | Nov 26, 2017 | Uncategorized
As excerpted from FBI.gov “BART GUTEKUNST, 63, of Weston, and a former managing partner and principal of New Stream Capital, LLC, a Ridgefield-based hedge fund, was sentenced today by Chief U.S. District Judge Janet C. Hall in New Haven to 30 months of...
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