Source: https://www.scribd.com/document/53086747/Securities-Fraud-Statutes
Timestamp: 2016-09-25 14:50:47
Document Index: 102372027

Matched Legal Cases: ['§78', '§ 472', '§ 472', '§ 472', '§ 473', '§ 493', '§ 494', '§ 513', '§ 373', '§ 1956', '§ 78', '§ 78', '§ 78', '§ 78']

BrowseBrowseInterestsBiography & MemoirBusiness & LeadershipFiction & LiteraturePolitics & EconomyHealth & WellnessSociety & CultureHappiness & Self-HelpMystery, Thriller & CrimeHistoryYoung AdultBrowse byBooksAudiobooksComicsSheet MusicBrowse allUploadSign inJoinBooksAudiobooksComicsSheet MusicWelcome to Scribd! Start your free trial and access books, documents and more.Find out moreSecurities Fraud1. As defined in 15 U.S.C. §78c 10: Failure to disclose that the promissory note is a Security. It is not a promissory note. A promissory note cannot exceed the life span of nine months. Failure to disclose the promissory note is not a note but a security constituting lack of “full disclosure” required in The Truth in Lending Act which gives an individual the right to signature rescission. Failure to disclose is constructive fraud and fraud vitiates all contracts. The National Bank Act specifically states that National Banks and subsidiary Mortgage Companies cannot hold a note, period. Securitization of an individual’s promissory note is constructive fraud, fraud by conversion, actual fraud and identity theft. Title 18 §§ 472, 473, 493, 494 and 513 is making, selling, uttering, possessing, publishing as true, altering, forging or falsifying as true any note, document and/or security is criminal intent each with ten to twenty years in prison and/or fines, knowledgeable, willful, intent to defraud, fraud in the factum and the basis for 200 times penalty. Pacific Mutual Life Ins. Co. v. Haslip, 499 U.S. 1 (1991). Admitted guilt regarding Title 18 §§ 472, 473, 493, 494 and 513 crime. Isleib sees no proof to the contrary. 1. Title 18 USC § 472 uttering counterfeit obligations or securities. Whoever, with intent to defraud, passes, utters, publishes, or sells, or attempts to pass, utter, publish, or sell, or with like intent brings into the United States or keeps in possession or conceals any falsely made, forged, counterfeited, or altered obligation or other security of the United States, shall be fined under this title or imprisoned not more than 20 years, or both. Isleib sees no proof to the contrary. 1. Title 18 USC § 473 Dealing in counterfeit obligations or securities. Whoever buys, sells, exchanges, transfers, receives, or delivers any false, forged, counterfeited, or altered obligation or other security of the United States, with the intent that the same be passed, published, or used as true and genuine, shall be fined under this title or imprisoned not more than 20 years, or both. Isleib sees no proof to the contrary. 1. Title 18 USC § 493 Bonds and obligations of certain lending agencies. Whoever passes, utters, or publishes, or attempts to pass, utter or publish any note, bond, debenture, coupon, obligation, instrument or document knowing the same to have been falsely made, forged, counterfeited or altered, contrary to the provisions of this section, shall be fined under this title or imprisoned not more than 10 years, or both. Isleib sees no proof to the contrary 1. Title 18 USC § 494 Dealing in counterfeit obligations or securities… Whoever utters or publishes as true or possesses with intent to utter or publish as true, any such false, forged, altered, or counterfeited writing, knowing the same to be false, forged, altered, or counterfeited…, shall be fined under this title or imprisoned not more than 20 years, or both. Isleib sees no proof to the contrary. 1. Title 18 USC § 513 Securities of the States and private entities. Whoever makes, utters or possesses a counterfeited security of a State or a political subdivision thereof or of an organization, or whoever makes, utters or possesses a forged security of a State or political subdivision thereof or of an organization, with intent to deceive another person, organization, or government shall be fined under this title or imprisoned for not more than ten years, or both. Isleib sees no proof to the contrary. All mortgage contracts and agreements and presentments are expressly induced by Fraud, Coercion, Extortion and Failure to Disclosure Contracts and violations of 18 USC § 373 and RICO 18 USC §§ 1956, 1957, 1964 upon Santos.
and during the preceding three years have been. the issuer.1. as the Commission may by rules and regulations require. and each security holder of record holding more
. or any renewal thereof the maturity of which is likewise limited. 1. bill of exchange. They have used the US Postal Service and commercial electronic media to send fraudulent unsupported commercial documents that were relied upon to deprive Isleib of property by a fraudulent presumption of pledge that constitutes Bank and Mail Fraud. TITLE 15 U. Santos demands proof of insurance disclosure in his mortgage contract. as to the issuer and any person directly or indirectly controlling or controlled by. (D) the directors. (C) the terms on which their securities are to be. or under direct or indirect common control with. the mortgage company could collect damages from the FDIC insurance – none of this has been disclosed and constitutes yet another violation. as necessary or appropriate in the public interest or for the protection of investors.C. Registration requirements for securities How Current is This? (a) General requirement of registration It shall be unlawful for any member. in such detail. and underwriters. draft. in respect of the following: (A) the organization. information A security may be registered on a national securities exchange by the issuer filing an application with the exchange (and filing with the Commission such duplicate originals thereof as the Commission may require). which application shall contain— (1) Such information. financial structure. broker. officers. (b) Procedure for registration. Isleib agrees they created unsupported commercial documents that were relied upon by them and/or third parties to deprive Santos of property. (B) the terms. Under the Federal Deposit Insurance Act (FDIA) under direction of the Federal Deposit Insurance Corporation (FDIC) the contract had to disclose the insurance company information and the fact that if Santos were to default. SECTION 78c 10 The term “security means any note……………. and any guarantor of the security as to principal or interest or both. 1. or bankers acceptance which has a maturity at the time of issuance of not exceeding nine months. The provisions of this subsection shall not apply in respect of a security futures product traded on a national securities exchange. position. and privileges of the different classes of securities outstanding. They have used fictitious names on commercial documents to deprive Isleib of property. exclusive of days of grace. rights. or dealer to effect any transaction in any security (other than an exempted security) on a national securities exchange unless a registration is effective as to such security for such exchange in accordance with the provisions of this chapter and the rules and regulations thereunder. TITLE 15 > CHAPTER 2B > § 78l Prev | Next § 78l. offered to the public or otherwise. but shall not include currency or any note.. and nature of the business.S. Any account in a bank is a Demand Deposit account and it is insured by the FDIA under the FDIC and Title 12.
in accordance with such rules and regulations as the Commission may prescribe as necessary or appropriate for the proper protection of investors and to insure fair dealing in the security— (1) such information and documents (and such copies thereof) as the Commission shall require to keep reasonably current the information and documents required to be included in or filed with an application or registration statement filed pursuant to section 78l of this title. such supplementary and periodic information. their remuneration and their interests in the securities of.than 10 per centum of any class of any equity security of the issuer (other than an exempted security). shall file with the Commission. Title 12 U. Section 92(a)(d) Banks and Banking (d) Prohibited operations. 1962. or other items for collection or exchange purposes. 1964. and reports as may be required pursuant to section 78m of this title in respect of a security registered pursuant to section 78l of this title.C. TITLE 15 > CHAPTER 2B > § 78m § 78m.S.
.S. Funds deposited or held in trust by the bank awaiting investment shall be carried in a separate account and shall not be used by the bank in the conduct of its business unless it shall first set aside in the trust department United States bonds or other securities approved by the Comptroller of the Currency. Section 78(o)(d) (d) Filing of supplementary and periodic information Each issuer which has filed a registration statement containing an undertaking which is or becomes operative under this subsection as in effect prior to August 20. Title 15 U. and their material contracts with. in accordance with such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors. or under direct or indirect common control with. the issuer. Periodical and other reports (a) Reports by issuer of security. as amended [15 U. bills of exchange. separate investment account. contents Every issuer of a security registered pursuant to section 78l of this title shall file with the Commission.S.].C. drafts. 77a et seq. documents. and each issuer which shall after such date file a registration statement which has become effective pursuant to the Securities Act of 1933. collateral for certain funds used in conduct of business No National Bank shall receive in its trust department deposits of current funds subject to check or the deposit of checks. the issuer and any person directly or indirectly controlling or controlled by. except that the Commission may not require the filing of any material contract wholly executed before July 1.C.
the insured depository institution. every director who participated in. or assented to the same.Summary of Paragraph 3 Title 12 U. or servants of the association to violate any of the provisions of his chapter. Section 1813((u) (u) Institution-affiliated party The term “institution-affiliated party” means. However. or agent for. before the association shall be declared dissolved. Title 15 U.S. be determined and adjudged by a proper district or Territorial court of the United States in a suit brought for that purpose by the Comptroller of the Currency. (3) any shareholder (other than a bank holding company). or any other person shall have sustained in consequence of such violation.Title 12 U. or accountant) who knowingly or recklessly participates in.C.S. or knowingly permit any of the officers.S. and any other person as determined by the appropriate Federal banking agency (by regulation or case-by-case) who participates in the conduct of the affairs of an insured depository institution. shall be held liable in his personal and individual capacity for all damages which the association. Such violations shall. Section 93…… [ any national banking association which. or a significant adverse effect on. personal liability of directors If the directors of any national banking association shall knowingly violate.C. an insured depository institution. which caused or is likely to cause more than a minimal financial loss to. (A) any violation of any law or regulation. employee. (1) any director. its shareholders. (b) Civil Money penalty (4) Maximum amounts of penalties for any violation described in paragraph (3) ……. and franchises of the association shall be thereby forfeited. in his own name. or controlling stockholder (other than a bank holding company) of. consultant.C.
. and any institution-affiliated party (within the meaning of section 1813(u) of this title) with respect to such association who – ] (A) Knowingly – (i) (ii) Commits any violation described in paragraph (1)……… Breeches any fiduciary duty
(A) In the case of any person other than a national banking association Is subject to a penalty in an amount to not exceed $1.000. (2) any other person who has filed or is required to file a change-in-control notice with the appropriate Federal banking agency under section 1817 (j) of this title.000 Title 12 U.S. privileges. and (4) any independent contractor (including any attorney. And in cases of such violation. all the rights.C. Section 93(a) Forfeiture of franchise. appraiser. (B) any breach of fiduciary duty. joint venture partner. or (C) any unsafe or unsound practice. agents. officer.
(3) otherwise fails to comply with any requirement imposed under this subchapter. 1611. or both.000 or imprisoned not more than one year. shall be fined not more than $5.
.Sec. Criminal liability for willful and knowing violation Whoever willfully and knowingly (1) gives false or inaccurate information or fails to provide information which he is required to disclose under the provisions of this subchapter or any regulation issued there under. (2) uses any chart or table authorized by the Board under section 1606 of this title in such a manner as to consistently understate the annual percentage rate determined under section 1606(a)(1)(A) of this title. or.
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