Securities Fraud Victories
“Victories” Definition: DM Cantor defines a “Victory” as a Complete Acquittal at Jury/Bench Trial; cases Dismissed after they were set for Jury/Bench Trial; cases Dismissed prior to being set for Jury/Bench Trial; Pre-Charge/Pre-Indictment cases where DM Cantor Prevented Charges from being filed; a Partial Acquittal at Jury/Bench Trial; cases in which Charges were Substantially Reduced; and cases where Prison/Jail exposure or Civil Repercussions were Substantially Reduced.
Disclaimer – Results depend upon factors unique to each case and that results in one case do not predict similar results in others.
Not Charged in Arizona | Felony Federal Securities Fraud ($15,000,000 Misappropriated by way of Ponzi Scheme/Securities Fraud), Felony Federal RICO, Federal Bank and Wire Fraud, and Felony Federal Embezzlement
ARIZONA CORPORATION COMMISSION SECURITIES DIVISION INVESTIGATED
Not Charged | Felony Securities Fraud ($1,747,000), Felony Bank and Wire Fraud, Felony Fraudulent Schemes and Felony Money Laundering
PRIVATE LAW FIRM INVESTIGATED AND RESOLVED WITH CIVIL SETTLEMENT
Not Charged | Federal Bank and Wire Fraud ($1,000,000), Felony Fraud Schemes ($450,000 Misappropriated from Wire Amount), Felony Money Laundering, Felony Sale of an Unlicensed Security and Felony RICO
FBI INVESTIGATED
Not Charged due to Civil Settlement | Federal & State Felony Securities Fraud (RICO), Felony Money Laundering & Felony Bank and Wire Fraud ($636,000)
FBI INVESTIGATED
Reduced to Theft with 1 Year in Prison | Federal Embezzlement / Securities Fraud ($506,000)
MARICOPA COUNTY SUPERIOR COURT (CASE NO. CR2009-143747)
Not Charged | Federal Felony Securities Fraud & Felony Mortgage Fraud ($221,000)
REPUBLIC MORTGAGE INSURANCE COMPANY INVESTIGATED