Jenny Quyen Ta , founder of Titan Securities, a broker-dealer in Dallas, was disciplined in 2010 for alleged misconduct that included using her Twitter account to tout stock in Advanced Micro Devices Inc.
Enter Peter Lankford, founder of STAC (Securities Technology Analysis Center), in Warrenville, Ill.
We all owe a special debt of gratitude to Roger Robinson, the founder and president of Conflict Securities Advisory Group (CSAG).
Raj Rajaratnam, an ostensibly successful hedge fund founder, is guilty of fourteen counts of securities fraud and conspiracy to commit securities fraud.
Four former Livedoor executives are currently on trial accused of fraud and falsifying corporate accounts, while the firm's founder Takafumi Horie has been charged with breaking securities laws.
Milberg Weiss, a law firm, said new charges were being brought against it and Melvyn Weiss , its co-founder, in a federal investigation into alleged kickbacks paid to plaintiffs in securities class-action lawsuits.
In May, Raj Rajaratnam, the founder of the Galleon Group, was convicted on fourteen counts of conspiracy and securities fraud.
Her pal, ImClone founder Samuel Waksal , just got seven years--without parole--for charges including securities fraud and obstruction of justice.
During the course of settling the matter, founder and patriarch Chung Ju Yung, who is neither a shareholder nor a board member of Hyundai Securities, ordered the transfer of that company's chairman to another Hyundai company.
Countrywide Financial co-founder Angelo Mozilo, for many months a poster child of what went wrong in the financial crisis, now faces securities fraud and insider trading charges for his role in guiding the largest U.S. mortgage lender to ruin.
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