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 […]
Frauds & Scandals
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, […]
SEC Charges Additional Unregistered Broker Who Sold $8.5 Million in 1 Global Securities to Retail Investors
March 22, 2021/US SEC The Securities and Exchange Commission today announced charges against an additional individual for unlawfully selling securities of 1 Global Capital, LLC, a South Florida merchant cash advance company, to retail investors. The SEC previously charged 1 Global, its owner, and others with operating a fraudulent scheme […]
