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Tags » Proprietary Trading

Related tags: business, consumers, courts, crime, group holdings, new york state, refco group, sec, securities and exchange commission, stocks

  1. Investment Exec Charged With Obstructing SEC

    northcountrygazette.org » North Country Gazette - Aug 28, 2008

    NEW YORK— The president, CEO and chairman of the Executive Committee of Melhado, Flynn & Associates, a broker-dealer and investment advisor registered with the former National Association of Securities Dealers, was …

    Also tagged: business, sec, crime, courts, stocks, new york state, consumers, securities and exchange commission, securities fraud, george motz, investment broker

  2. Refco CEO Nets 16 Years For $2.4B Fraud

    northcountrygazette.org » North Country Gazette - Jul 3, 2008

    NEW YORK—The former chief executive officer and 50% owner of Refco has been sentenced to 16 years in prison for his role in executing a $2.4 billion fraud. Phillip R. Bennett, 59, of Gladstone, NJ, pleaded guilty on …

    Also tagged: business, crime, government, courts, new york state, consumers, commodities, buchwald, brokerage, holding company, phillip bennett, trading losses, reice, refco group, group holdings