McGinn, Smith & Co., the longtime Albany brokerage that became entangled in the criminal trial of former state Senate Majority Leader Joseph Bruno, has been accused of securities fraud by the Financial Industry Regulatory Authority. FINRA is the self-regulating body of the securities industry. It is independent of the Securities and Exchange Commission, which is the federal government’s securities watchdog, and does not have criminal oversight.FINRA filed a complaint against McGinn, Smith dated April 5 that allges that the brokerage sold tens of millions of dollars worth of unregistered securities to clients.
Posts Tagged ‘Company Officials’
McGinn, Smith Charged By FINRA in Note Case
April 20th, 2010 
Before You Invest 
Posted in Finance Fraud 
Tags: Brokerage, Company Officials, Criminal Trial, David L Smith, Financial Industry Regulatory Authority, Finra, Mcginn Smith, Note Case, Oversight, President David, Securities And Exchange, Securities And Exchange Commission, Securities Fraud, Securities Industry, Senate Majority Leader, Senate Majority Leader Joseph Bruno, Smith Co, State Senate, Unregistered Securities, Watchdog 
Comments OffMetro Dream Homes was founded by Andrew Hamilton Williams Jr.
April 28th, 2009 Before You Invest Metro Dream Homes was founded by Andrew Hamilton Williams Jr., who used some of the $50,000 minimum payments provided by home owners to cover the losses of an automated-teller-machine scheme he was ordered to shut down in 2001, according to the indictment unsealed Monday.Investors in Metro Dream Homes who forked over the $50,000 were told the company would pay off the their mortgages, court documents said.
Posted in Finance Fraud Tags: Andrew Hamilton, Automated Teller Machine, Cadillacs, Cash Rewards, Chauffeurs, Company Officials, Dream Homes, Federal Grand Jury, Flat Screen Televisions, Indictment, Investment Dollars, Land Rovers, Lincolns, Luxury Hotels, Minimum Payments, Nba All Star, Nba All Star Game, Side Businesses, Telephone Cards, Traffic Areas No Comments »Metro Dream Homes was founded by Andrew Hamilton Williams Jr.
April 28th, 2009 Before You Invest Metro Dream Homes was founded by Andrew Hamilton Williams Jr., who used some of the $50,000 minimum payments provided by home owners to cover the losses of an automated-teller-machine scheme he was ordered to shut down in 2001, according to the indictment unsealed Monday.Investors in Metro Dream Homes who forked over the $50,000 were told the company would pay off the their mortgages, court documents said.
Posted in Finance Fraud Tags: Andrew Hamilton, Automated Teller Machine, Cadillacs, Cash Rewards, Chauffeurs, Company Officials, Dream Homes, Federal Grand Jury, Flat Screen Televisions, Indictment, Investment Dollars, Land Rovers, Lincolns, Luxury Hotels, Minimum Payments, Nba All Star, Nba All Star Game, Side Businesses, Telephone Cards, Traffic Areas Comments Off
