June 30, 2021/US SEC The Securities and Exchange Commission today announced settled insider trading charges against Bay Area finance employee Mounir N. Gad and his friend Nathan E. Guido. According to the SEC’s orders against Gad and Guido, Gad worked for a Northern California-based bank in its group that assisted […]
Frauds & Scandals
SEC Charges Investment Adviser with Fraudulent Offer and Sale of Unregistered Funds
June 30, 2021/US SEC The Securities and Exchange Commission announced charges against investment adviser John Robert Jones, Jr. in connection with his alleged fraudulent offer and sale of two private unregistered funds he founded and controlled – PED Index Fund, L.P. and PED Index Fund A1, L.P. The SEC’s complaint, […]
SEC Charges Investment Adviser and Its Coo with Defrauding Clients
June 30, 2021/US SEC The Securities and Exchange Commission today filed charges against Chicago, Illinois-based Barrington Asset Management, Inc. and its co-owner and chief operating officer, Gregory D. Paris, for perpetrating a multi-year cherry-picking scheme that defrauded Barrington clients. The SEC’s complaint, filed in the United States District Court for […]
