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Securities and Exchange Commission v. Brookstreet Securities Corp et al
Case Number:
8:09-cv-01431
Court:
Nature of Suit:
Judge:
Firms
Government Agencies
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November 18, 2014
SEC Seeks Smaller Brookstreet Penalty After Miscalcutions
The U.S. Securities and Exchange Commission on Monday asked a California federal judge to impose a much smaller penalty on Brookstreet Securities Corp.'s former CEO than the $10 million originally sought after the agency acknowledged its first calculations of what he should pay likely were flawed.
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April 10, 2012
Ex-Brookstone CEO Asks Judge To Undo $10M Fraud Ruling
An attorney for Brookstreet Securities Corp.'s former CEO on Tuesday urged a California federal judge to reverse a $10 million ruling against his client for securities fraud, saying questions remained about whether he was responsible for brokers who sold risky investments to conservative investors.
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March 02, 2012
Ex-Brookstreet CEO Ordered To Pay $10M In Fraud Suit
A federal judge has ordered the former CEO of Brookstreet Securities Corp. to pay over $10 million in penalties for committing securities fraud by selling risky mortgage-backed securities to conservative investors, the U.S. Securities and Exchange Commission said Friday.
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February 23, 2012
Clock Runs Out For Brookstreet CEO In SEC Fraud Suit
Citing a "pattern of delay" by Brookstreet Securities Corp. and CEO Stanley C. Brooks, a California federal judge granted summary judgment to securities regulators Wednesday, telling them to tee up maximum penalties against the defendants for selling $300 million in toxic collateralized mortgage obligations.