September 2, 2022/US SEC The Securities and Exchange Commission today charged David Pope, a rail freight trader formerly employed by agricultural cooperative CHS Inc., for manipulating the values and quantities of certain of the company’s rail freight contracts. In December 2018, CHS restated its publicly filed financial statements from 2014 […]
Frauds & Scandals
SEC Charges Marijuana Start-Up Company and Its Operatives with Securities Fraud
September 2, 2022/US SEC The Securities and Exchange Commission announced charges against POHIH, Inc. (“POHIH”), a Dallas, Texas-based corporation, Kris A. Swaffer (“Swaffer”), POHIH’s president and a resident of Cadillac, Michigan, and Sean K. Williams (“Williams”), the chief operating officer of a related entity and a resident of Avon, Ohio, […]
SEC Files Subpoena Enforcement Action Against Two Principals of Broadway Musical Fund
September 1, 2022/US SEC The Securities and Exchange Commission announced that it has filed an action against Curtis Wayne Cronin (“Cronin”) and John Joseph (“Joseph”), both Managing Partners of Broadway Strategic Return Fund, LP (the “Fund”), a fund that invests in securities related to theatrical productions, seeking an order directing […]
