A former employee of Piper Jaffray & Co., Abhishek Uppal, has been barred from the securities industry for engaging in insider trading. The Financial Industry Regulatory Authority (FINRA) made this choice following actions taken by Uppal in June of this year.Uppal, a resident of the San Francisco area, bought shares of SoftBrands days before the company announced it was being bought by Golden Gate Capital and Infor Global Solutions.
Posts Tagged ‘Illegal Activities’
California Broker Barred from Securities Industry for Insider Trading
November 7th, 2009 
Before You Invest 
Posted in Finance Fraud 
Tags: Abhishek, Acquisition, Broker Dealer, Business Day, California Broker, Financial Industry Regulatory Authority, Golden Gate, Golden Gate Capital, Illegal Activities, Infor Global Solutions, Insider Trading, Mask, Piper Jaffray Co, Possession, San Francisco Area, Securities Industry, Softbrands, Stock Price, Uppal 
No Comments »Alaska Officers Seize over 36,000 Counterfeit Credit Card Holograms – sitnews.us – 13 May 09
May 14th, 2009 Before You Invest U.S. Customs and Border Protection (CBP) officers in Anchorage, Alaska seized an express package from Hong Kong in late April containing over 36,000 counterfeit credit card holograms (Visa, Mastercard) and 10,000 counterfeit Alberta, Canada Department of Motor Vehicle Seals. The contraband was secreted inside a computer tower Holograms are a security feature incorporated into credit cards and Enhanced Driver Licenses (EDL).
Posted in Finance Fraud Tags: Alberta Canada, Anchorage Alaska, Canada Department, Cbp, Computer Tower, Consumer Protection, Credit Cards, Criminal Impersonation, Customs And Border Protection, Department Of Motor Vehicle, Driver Licenses, Genuine Article, Illegal Activities, Illegal Entry, National Security, Port Director, Security Feature, Sitnews, U S Customs And Border Protection, Visa Mastercard No Comments »It’s not always about money; sometimes hackers just hate you – arstechnica.com – 26 Feb 09
March 1st, 2009 Before You Invest Malware authors and hackers have to eat like the rest of us, but security data from 2008 suggests many engage in their illegal activities for other reasons besides a desire to get money. Twenty-four percent of all the attacks the Web Hacking Incidents Database logged for 2008 were related to website defacement.
Posted in Finance Fraud Tags: Barometer, Commercialization, Current Report, Government Departments, Illegal Activities, Incident Database, Inclusion Criteria, Malware, Monetary Loss, Pii, Political Message, Political Nature, Political Parties, Reference Material, Report Indicates That, Security Data, Security Reports, Wallets, Web Defacements, Web Hacking No Comments »
