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Connecticut Insurance Executive And Two Companies Charged With Securities Offering Fraud By SEC

This week, the Securities and Exchange Commission announced that it had charged David S. Haddad and two companies he operated […]

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Municipal Adviser And Principal Charged With Defrauding Mississippi City

Last week, the Securities and Exchange Commission announced that it had filed a civil injunctive action against an Atlanta, Georgia-based […]

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Investment Adviser And Principal Held In Contempt For Failing To Comply With Court Order

On December 26, 2017, the Securities and Exchange Commission announced that a judge had issued an order finding Anvil Partners […]

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Operators Of $1.2 Billion Ponzi Scheme Charged By SEC

This week, it was announced that the Securities and Exchange Commission had charged a group of unregistered funds and their […]

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SEC Charges Washington-Based Investment Adviser And Business Partner In Multi-Million Dollar Scheme

On December 20, 2017, the Securities and Exchange Commission announced that it had charged a Washington-based investment adviser with fraud. […]

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SEC Charges Pennsylvania Broker With Defrauding 30 Investors

On December 7, 2017, the Securities and Exchange Commission announced that it had charged a registered representative in Pennsylvania with […]

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SEC Files Fraud Charges Against Premier Holding Corp. And CEO

On December 4, 2017, the Securities and Exchange Commission announced that it had charged a microcap company and its CEO […]

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SEC Obtains Final Judgment Against Ponzi Scheme Defendants Involving Loans To Professional Athletes

On November 17, 2017, the Securities and Exchange Commission announced that a final judgment had been entered against a former […]

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SEC Obtains Judgment Against Defendant Accused Of Being Involved In Offering Fraud

On November 13, 2017, it was announced that the Securities and Exchange Commission had entered a final judgment against Brian […]

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Georgia Man Charged By SEC For Defrauding Retirees

On November 13, 2017, it was announced that the Securities and Exchange Commission had filed charges against a Georgia-based former […]

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