March 28, 2021/ SEC Nigeria The Securities and Exchange Commission (SEC) wishes to inform the general public that it has filed a Motion for Injunction/Stay of Execution of the judgment and Order of the FCT High Court in Suit No: FCT/HC/BW/CV/347/2020, ENGINEER PATRICK AJUDUA Vs SECURITIES and EXCHANGE COMMISSION & […]
Frauds & Scandals
SEC Charges Unregistered Brokers Who Sold Equialt Securities to Retail Investors
March 23, 2021/US SEC The Securities and Exchange Commission today announced charges against Jason P. Wootten and Ronald Frank Stevenson, two Arizona-based individuals, and the companies they controlled and operated, for registration violations in connection with their unlawful sales of securities of real estate funds managed by Florida-based EquiAlt LLC […]
SEC Charges Bahamian Broker-Dealer and Its Principal with Operating IIIegally in the United States
March 22, 2021/US SEC The Securities and Exchange Commission today charged MintBroker International Ltd., f/k/a Swiss America Securities, Ltd. and d/b/a as SureTrader, a Bahamas-based broker-dealer, with unlawfully operating as a broker-dealer in the United States without being registered. The SEC also charged Puerto Rico-based Guy Gentile, SureTrader’s founder, owner, […]
