دورة المؤشرنت للتحليل الفني
50 دينار كويتي
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السبيعي2
عضو نشط
علشانك يا حسن 
الحين إشاعات التسوية تكون منطقية بس لحد يشطح بعيد
مسكوا أحد البروكرية بالجرم المشهود وهو بيع أسهم وهمية
NASD Charges NevWest Securities Corporation and Principals With
Violating Anti-Money Laundering Rules
Tuesday September 26, 10:32 am ET
Firm Failed to File Suspicious Activity Reports Despite Suspicious
Sales of Hundreds of Billions of Shares of Sub-Penny Stock by
Customer
WASHINGTON, Sept. 26 /PRNewswire/ -- NASD announced today that it has
charged NevWest Securities Corporation of Las Vegas and two of its
top officers -- President Sergey Rumyantsev and Vice President Antony
M. Santos -- with violating NASD's Anti-Money Laundering Rule.
ADVERTISEMENT
In its complaint, NASD charges that the firm failed to adequately
implement and enforce procedures to detect and report suspicious
transactions that the firm had reason to suspect involved possible
securities fraud. Specifically, the complaint charges that the firm
failed to conduct adequate due diligence and file appropriate
Suspicious Activity Reports (SARs) in connection with highly
suspicious transactions by a customer of the firm. NASD alleges that,
during the relevant period, the customer opened 32 accounts at
NevWest and sold more than 250 billion shares of a sub-penny stock,
which generated total sales proceeds of over $53 million. NASD
alleged that NevWest earned commission revenue on the sales totaling
$2.5 million -- 36 percent of the firm's total revenues during the
relevant period.
"Suspicious Activity Reports provide law enforcement with information
that's critical for investigating and prosecuting money laundering,
terrorist financing and other financial crimes," said James S.
Shorris, NASD Executive Vice President and Head of
Enforcement. "Broker-dealers have an obligation to investigate 'red
flags' indicating suspicious activity and, where appropriate, to file
SARs. Despite a multitude of very obvious red flags, NevWest chose to
look the other way, earning millions for itself in the process."
NASD's complaint charges that between January 2003 and May 2005,
NevWest, through Rumyantsev and Santos, failed to adequately perform
due diligence, file SARs or cease trading in multiple accounts
controlled by one of NevWest's customers in connection with more than
500 sale transactions. The transactions involved a sub-penny stock
issued by CMKM Diamonds, Inc. (CMKM) that traded in the Pink Sheets
until the Securities and Exchange Commission (SEC) revoked the
stock's registration in 2005. The complaint further charges that the
firm and its officers ignored numerous red flags which reasonably
should have caused them to suspect that the customer was violating
federal securities laws. The complaint charges that the firm should
have filed suspicious activity reports with the U.S. Treasury
Department's Financial Crimes Enforcement Network (FinCEN).
Those red flags included:
* The massive volume of CMKM stock that was being sold through
NevWest
by this customer, which constituted as much as 36.7% of
CMKM's total
outstanding shares;
* Publicly available information about CMKM's financials
indicating that
CMKM had almost no assets. CMKM's last quarterly report,
filed with
the SEC on Nov. 18, 2002, showed that for the quarter ending
September
2002, it had total assets of only $344 cash and total
liabilities of
$1,672;
* CMKM's failure to file annual reports with the SEC for the
fiscal
years 2002, 2003 and 2004.
* Information showing a relationship between the NevWest
customer
engaging in the suspicious transactions and a former officer
of CMKM;
* The SEC's temporary suspension of over-the-counter trading in
CMKM
securities from March 3, 2005 through March 16, 2005 and the
SEC's
action on May 10, 2005 to revoke the registration of each
class of
CMKM stock. From March 17, 2005 until May 11, 2005, NevWest
continued
to sell at least 22 billion shares for its customer's account.
NASD also alleges that NevWest, through Santos, failed to comply with
escrow account requirements and contingency offering terms, in
violation of the federal securities laws and NASD rules; failed to
timely report customer complaints and disclosure events pursuant to
NASD rules, and failed to establish and maintain a supervisory system
and procedures that were reasonably designed to detect and prevent
these violations.
Under NASD rules, a firm or individual named in a complaint can file
a response and request a hearing before an NASD disciplinary panel.
Possible remedies include a fine, censure, suspension, or bar from
the securities industry, disgorgement of gains associated with the
violations, and payment of restitution.
The issuance of a disciplinary complaint represents the initiation of
a formal proceeding by NASD in which findings as to the allegations
in the complaint have not been made and does not represent a decision
as to any of the allegations contained in the complaint. Because this
complaint is unadjudicated, interested persons may wish to contact
the respondent before drawing any conclusions regarding the
allegations in the complaint.
Investors can obtain more information about, and the disciplinary
record of, any NASD-registered broker or brokerage firm by using
NASD's BrokerCheck. NASD makes BrokerCheck available at no charge to
the public. In 2005, members of the public used this service to
conduct more than 4.3 million searches for existing brokers or firms
and requested more than 194,000 reports in cases where disclosable
information existed on a broker or firm. Investors can link directly
to BrokerCheck at http://www.nasdbrok ercheck.com. Investors can also
access this service by calling (800) 289-9999.
NASD is the leading private-sector provider of financial regulatory
services, dedicated to investor protection and market integrity
through effective and efficient regulation and complementary
compliance and technology-based services. NASD touches virtually
every aspect of the securities business -- from registering and
educating all industry participants, to examining securities firms,
enforcing both NASD rules and the federal securities laws, and
administering the largest dispute resolution forum for investors and
registered firms. For more information, please visit our Web site at
http://www.nasd. com.
------------ --------- --------- --------- --------- --------- -
----------
Source: NASD
الحين إشاعات التسوية تكون منطقية بس لحد يشطح بعيد
مسكوا أحد البروكرية بالجرم المشهود وهو بيع أسهم وهمية
NASD Charges NevWest Securities Corporation and Principals With
Violating Anti-Money Laundering Rules
Tuesday September 26, 10:32 am ET
Firm Failed to File Suspicious Activity Reports Despite Suspicious
Sales of Hundreds of Billions of Shares of Sub-Penny Stock by
Customer
WASHINGTON, Sept. 26 /PRNewswire/ -- NASD announced today that it has
charged NevWest Securities Corporation of Las Vegas and two of its
top officers -- President Sergey Rumyantsev and Vice President Antony
M. Santos -- with violating NASD's Anti-Money Laundering Rule.
ADVERTISEMENT
In its complaint, NASD charges that the firm failed to adequately
implement and enforce procedures to detect and report suspicious
transactions that the firm had reason to suspect involved possible
securities fraud. Specifically, the complaint charges that the firm
failed to conduct adequate due diligence and file appropriate
Suspicious Activity Reports (SARs) in connection with highly
suspicious transactions by a customer of the firm. NASD alleges that,
during the relevant period, the customer opened 32 accounts at
NevWest and sold more than 250 billion shares of a sub-penny stock,
which generated total sales proceeds of over $53 million. NASD
alleged that NevWest earned commission revenue on the sales totaling
$2.5 million -- 36 percent of the firm's total revenues during the
relevant period.
"Suspicious Activity Reports provide law enforcement with information
that's critical for investigating and prosecuting money laundering,
terrorist financing and other financial crimes," said James S.
Shorris, NASD Executive Vice President and Head of
Enforcement. "Broker-dealers have an obligation to investigate 'red
flags' indicating suspicious activity and, where appropriate, to file
SARs. Despite a multitude of very obvious red flags, NevWest chose to
look the other way, earning millions for itself in the process."
NASD's complaint charges that between January 2003 and May 2005,
NevWest, through Rumyantsev and Santos, failed to adequately perform
due diligence, file SARs or cease trading in multiple accounts
controlled by one of NevWest's customers in connection with more than
500 sale transactions. The transactions involved a sub-penny stock
issued by CMKM Diamonds, Inc. (CMKM) that traded in the Pink Sheets
until the Securities and Exchange Commission (SEC) revoked the
stock's registration in 2005. The complaint further charges that the
firm and its officers ignored numerous red flags which reasonably
should have caused them to suspect that the customer was violating
federal securities laws. The complaint charges that the firm should
have filed suspicious activity reports with the U.S. Treasury
Department's Financial Crimes Enforcement Network (FinCEN).
Those red flags included:
* The massive volume of CMKM stock that was being sold through
NevWest
by this customer, which constituted as much as 36.7% of
CMKM's total
outstanding shares;
* Publicly available information about CMKM's financials
indicating that
CMKM had almost no assets. CMKM's last quarterly report,
filed with
the SEC on Nov. 18, 2002, showed that for the quarter ending
September
2002, it had total assets of only $344 cash and total
liabilities of
$1,672;
* CMKM's failure to file annual reports with the SEC for the
fiscal
years 2002, 2003 and 2004.
* Information showing a relationship between the NevWest
customer
engaging in the suspicious transactions and a former officer
of CMKM;
* The SEC's temporary suspension of over-the-counter trading in
CMKM
securities from March 3, 2005 through March 16, 2005 and the
SEC's
action on May 10, 2005 to revoke the registration of each
class of
CMKM stock. From March 17, 2005 until May 11, 2005, NevWest
continued
to sell at least 22 billion shares for its customer's account.
NASD also alleges that NevWest, through Santos, failed to comply with
escrow account requirements and contingency offering terms, in
violation of the federal securities laws and NASD rules; failed to
timely report customer complaints and disclosure events pursuant to
NASD rules, and failed to establish and maintain a supervisory system
and procedures that were reasonably designed to detect and prevent
these violations.
Under NASD rules, a firm or individual named in a complaint can file
a response and request a hearing before an NASD disciplinary panel.
Possible remedies include a fine, censure, suspension, or bar from
the securities industry, disgorgement of gains associated with the
violations, and payment of restitution.
The issuance of a disciplinary complaint represents the initiation of
a formal proceeding by NASD in which findings as to the allegations
in the complaint have not been made and does not represent a decision
as to any of the allegations contained in the complaint. Because this
complaint is unadjudicated, interested persons may wish to contact
the respondent before drawing any conclusions regarding the
allegations in the complaint.
Investors can obtain more information about, and the disciplinary
record of, any NASD-registered broker or brokerage firm by using
NASD's BrokerCheck. NASD makes BrokerCheck available at no charge to
the public. In 2005, members of the public used this service to
conduct more than 4.3 million searches for existing brokers or firms
and requested more than 194,000 reports in cases where disclosable
information existed on a broker or firm. Investors can link directly
to BrokerCheck at http://www.nasdbrok ercheck.com. Investors can also
access this service by calling (800) 289-9999.
NASD is the leading private-sector provider of financial regulatory
services, dedicated to investor protection and market integrity
through effective and efficient regulation and complementary
compliance and technology-based services. NASD touches virtually
every aspect of the securities business -- from registering and
educating all industry participants, to examining securities firms,
enforcing both NASD rules and the federal securities laws, and
administering the largest dispute resolution forum for investors and
registered firms. For more information, please visit our Web site at
http://www.nasd. com.
------------ --------- --------- --------- --------- --------- -
----------
Source: NASD
"الحرالاشقر"
عضو نشط
الله يكون بعونكم ويعوضكم خير يارب
fesalll
عضو نشط
شباب وانا قاعد ادور بالاسهم لقيت اسم شركه مقارب لاسم شركتنا
Cmkh.pk
والشركه ليلحين ماتداولت بالسوق
ممكن تكون شركتنا
Cmkh.pk
والشركه ليلحين ماتداولت بالسوق
ممكن تكون شركتنا
بن صقر
عضو نشط
- التسجيل
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- المشاركات
- 829
شوف
خلنا نشتري فيها
اذا سوت نفس الحركه وعطونا شهايد
اعرف انها شركتنا
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الله كريم
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عضو جديد
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- 1
انا لي فيه 10 ملايين سهم
يا جماعة هذي بتطلع لنا آلاف او ملايين لازم نتحرك حتى لو نعين محامي هذي $$ مو لعبه
يا جماعة هذي بتطلع لنا آلاف او ملايين لازم نتحرك حتى لو نعين محامي هذي $$ مو لعبه
الصبر زين1
عضو نشط
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يا حليلك ياخوى حسن
يعجبنى فيك التفاؤل
الله يرزقك على نيتك
يعجبنى فيك التفاؤل
الله يرزقك على نيتك
ahma123
عضو نشط
شباب هل من جديد السهم ذا طول وفلوسنا معلقة معاه
السهم الامريكي
عضو نشط
الجديد يا اخ حسن ويا اصحاب أسهم هالشركة الدايخه وانا منهم
الجديد الجديد الجديد
انسوا فلوسكم وريحوا بالكم بلا احلام وردية
دورة المؤشرنت للتحليل الفني
50 دينار كويتي