Cur­rent and for­mer ten­ants

Bloomberg Businessweek (North America) - - Politics/ Policy -

46

Aegis Cap­i­tal was fined $950,000 by fi­nan­cial reg­u­la­tors in 2015 for help­ing un­load un­reg­is­tered shares of penny stocks. The com­pany didn’t ad­mit any wrong­do­ing.

42

Bond-trad­ing firm Di­rect Ac­cess Part­ners closed af­ter a scheme to bribe a Venezue­lan bank of­fi­cial sur­faced in 2013. The for­mer CEO is serv­ing a four-year prison sen­tence.

30

Luis Fer­reira was on su­per­vised re­lease from prison af­ter serv­ing time for a tele­mar­ket­ing scam when his firm leased this space. He was ar­rested for vi­o­lat­ing pa­role in 2010 and later fled; he’s now on the FBI’S most-wanted list.

28

Mark Ma­lik is in prison af­ter be­ing con­victed of swin­dling in­vestors out of more than $800,000. The 34-year-old pre­tended to have died of a heart at­tack when in­vestors tried to with­draw their cash from his fake fund, Wolf Hedge.

17

In­vest­ment man­ager John Bivona was sued in March by the SEC, which said he fun­neled in­vestor cash to rel­a­tives, in­clud­ing nephew Frank Maz­zola, and used the money to pay for a Jersey Shore va­ca­tion home. Both have de­nied wrong­do­ing in court fil­ings.

46 Floor

Florida-based bro­ker­age Gun­nallen Fi­nan­cial closed in 2010 af­ter reg­u­la­tors said it didn’t have suf­fi­cient cap­i­tal; it was over­whelmed by le­gal costs af­ter some bro­kers were in­volved in Ponzi schemes.

34

Ro­nen Zakai, a part­ner of the heads of First Merger Cap­i­tal, spent most of 2015 in prison af­ter be­ing con­victed of steal­ing $705,000 raised from in­vestors who were told they were buy­ing into Face­book’s IPO. Zakai didn’t re­spond to a Face­book mes­sage.

28

Lawyer Matthew Ben­nett Greene of Sti­las In­ter­na­tional Law was banned from prac­tic­ing in Vir­ginia for fail­ing to de­liver ser­vices and fined in 2013 by Con­necti­cut’s bank­ing com­mis­sioner over a movie in­vest­ment scheme that promised 1,000 per­cent re­turns. He didn’t re­spond to mes­sages.

26

Day traders at A.B. Wat­ley Group were found guilty in 2009 of a scheme to bribe bro­kers at Mer­rill Lynch and Cit­i­group to let them lis­ten in on in­ter­nal “squawk box” calls. The con­vic­tions were over­turned in 2012, be­cause pros­e­cu­tors with­held ev­i­dence.

17

Maz­zola of Felix In­vest­ments paid $500,000 to set­tle an SEC fraud case in 2014.

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