May 21, 2021/US SEC The Securities and Exchange Commission today announced that it has filed an action against Carlos R. Irizarry Santiago, a certified public accountant and resident of Puerto Rico, seeking an order directing him to comply with an investigative subpoena for documents and testimony. According to the SEC’s […]
Frauds & Scandals
SEC Obtains Final Judgment Against Broker Charged with Defrauding Customers
May 21, 2021/US SEC On May 20, 2021, the U.S. District Court for the Southern District of New York entered a final consent judgment against a New York-based broker who was previously charged by the SEC with defrauding retail customers. On September 7, 2018, the SEC charged Emil Botvinnik, a […]
SEC Charges Partnership and Four Individuals in Connection with a Fraudulent Investment Offering
May 20, 2021/US SEC The Securities and Exchange Commission charged LFS Funding Limited Partnership and individuals Stephen Michael Thompson, Steven Robert Comisar, Dale Jay Engelhardt, and Ross Gregory Erskine, all of the Los Angeles area, with engaging in fraud in connection with an unregistered offering of the partnership’s securities. According […]
