Try our Advanced Search for more refined results

Securities and Exchange Commission v. McGinn, Smith & Co, Inc. et al

  1. May 16, 2011

    SEC Can Use Probe Docs In McGinn Fraud Suit: Judge

    A New York federal judge on Monday refused to prevent the U.S. Securities and Exchange Commission from using documents procured in a criminal investigation in its civil suit alleging McGinn Smith & Co. and its founders ran a $136 million securities fraud.

  2. May 10, 2011

    McGinn Smith Founder's Wife Can't Ditch Fraud Suit

    The wife of a McGinn Smith & Co. Inc. founder lost her bid Monday to walk away from the U.S. Securities and Exchange Commission's New York case alleging the brokerage firm and its founders ran a $136 million securities fraud.

  3. February 01, 2011

    SEC Seeks Sanctions In McGinn Smith Fraud Case

    The U.S. Securities and Exchange Commission is seeking sanctions against two attorneys and the wife of McGinn Smith & Co. Inc.'s co-founder for allegedly misrepresenting a trust during its $136 million fraud case against the firm and its founders.

  4. January 12, 2011

    Judge Keeps McGinn Smith Exec's Trust On Ice

    The federal judge overseeing a McGinn Smith & Co. Inc. founder's $136 million fraud case has blocked a bid to lift the freeze on the assets of a trust in the broker's name.