- 2004
- $71,554
Defendant allegedly transferred unregistered Children’s Beverage stock into and out of the brokerage account of one of his employees, without the employee’s knowledge or authorization. The shares were allegedly transferred from a Canadian brokerage account which defendant controlled and then, claiming incapacity of the employee, he provided false transfer instructions to the employee’s brokerage account representative in favor of his friends, family and business associates.
