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Securities Fraud San Diego

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BUSINESS
March 4, 1992 | SCOT J. PALTROW, TIMES STAFF WRITER
An arbitration panel handed down an exceptionally large judgment Tuesday--more than $1.9 million--against the downtown San Diego office of Prudential Securities, its former branch manager and two former brokers, for their unauthorized trading and churning of a retired couple's accounts. The award, by an American Arbitration Assn. panel, also was unusual because it included "exemplary" damages of $635,000.
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BUSINESS
February 6, 1998 | JOHN O'DELL, TIMES STAFF WRITER
A federal judge has ordered Anaheim Hills attorney Thomas F. Goodman, former San Diego Padre pitcher John F. D'Acquisto and two D'Acquisto-controlled investment companies to pay $121,640 in fines and interest to close out a 1995 securities fraud case. Goodman, who was D'Acquisto's attorney, said he has appealed the judgment, which was announced Thursday by the Securities and Exchange Commission. The fraud charge "is not correct," he said. "I was merely the attorney, not a participant."
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BUSINESS
October 5, 1995 | JAMES S. GRANELLI, TIMES STAFF WRITER
A federal judge has ruled that former San Diego Padres pitcher John F. D'Acquisto, his lawyer and two of his companies defrauded two investors out of $6.5 million in an investment scheme. U.S. District Judge Marilyn L. Huff ruled that D'Acquisto, his companies and lawyer Thomas F. Goodman falsely represented themselves to the investors as sophisticated money managers and falsely stated that investors' funds were secure in low-risk ventures that would be paid back, with interest.
BUSINESS
October 5, 1995 | JAMES S. GRANELLI, TIMES STAFF WRITER
A federal judge has ruled that former San Diego Padres pitcher John F. D'Acquisto, his lawyer and two of his companies defrauded two investors out of $6.5 million in an investment scheme. U.S. District Judge Marilyn L. Huff ruled that D'Acquisto, his companies and lawyer Thomas F. Goodman falsely represented themselves to the investors as sophisticated money managers and falsely stated that investors' funds were secure in low-risk ventures that would be paid back, with interest.
BUSINESS
February 6, 1998 | JOHN O'DELL, TIMES STAFF WRITER
A federal judge has ordered Anaheim Hills attorney Thomas F. Goodman, former San Diego Padre pitcher John F. D'Acquisto and two D'Acquisto-controlled investment companies to pay $121,640 in fines and interest to close out a 1995 securities fraud case. Goodman, who was D'Acquisto's attorney, said he has appealed the judgment, which was announced Thursday by the Securities and Exchange Commission. The fraud charge "is not correct," he said. "I was merely the attorney, not a participant."
BUSINESS
March 4, 1992 | SCOT J. PALTROW, TIMES STAFF WRITER
An arbitration panel handed down an exceptionally large judgment Tuesday--more than $1.9 million--against the downtown San Diego office of Prudential Securities, its former branch manager and two former brokers, for their unauthorized trading and churning of a retired couple's accounts. The award, by an American Arbitration Assn. panel, also was unusual because it included "exemplary" damages of $635,000.
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