SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer
Defendants, including persons barred from the brokerage industry, allegedly sold shares they didn’t own, and…
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Defendant in SEC Enforcement Action Sentenced to More Than Nine Years in Prison
May 11, 2022/US SEC On May 4, 2022, Brenda Smith, a Pennsylvania investment adviser charged…
SEC Obtains Partial Judgment Against Fraud Guarantee Co-Founder for Engaging in Fraudulent Securities Offering
May 11, 2022/US SEC On May 6, 2022, the U.S. District Court for the Southern…