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USA v. Hinojosa, et al
Case Number:
4:00-cr-40031
Court:
Nature of Suit:
Judge:
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September 28, 2007
Mutuals.com, Execs Settle With SEC For $5M
Online mutual fund trader Mutuals.com has agreed to pay the U.S. Securities and Exchange Commission $5 million to settle allegations that the company facilitated market timing and late trading by a handful of institutional investor clients.
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January 10, 2006
SEC Slaps Broker With Record $153M Fine
The U.S. Securities and Exchange Commission has imposed its largest fine to date in the investigation of mutual fund trading abuses, ordering Daniel Calugar to pay $153 million to settle allegations of late trading and market timing.