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, […]
Frauds & Scandals
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 […]
SEC Charges Private Fund Adviser and Its Principal for Fraud
September 1, 2022/US SEC The Securities and Exchange Commission announced today that it filed charges against Ramas Capital Management, LLC (RCM), a Houston, Texas-based investment adviser, and Ganesh H. Betanabhatla, its managing partner, chief investment officer, and owner, for alleged misrepresentations and breaches of fiduciary duty to a privately-managed fund […]
