March 11, 2021/US SEC The Securities and Exchange Commission announced today that it filed an emergency action and obtained a temporary restraining order and asset freeze against Shawn C. Cutting of Sandpoint, Idaho, for allegedly raising millions of dollars from hundreds of investors by falsely claiming to be a financial […]

March 10, 2021/US SEC The Securities and Exchange Commission today charged George Heckler, of Charleston, South Carolina, for operating a decade-long investment adviser fraud through two private hedge funds, Cassatt Short Term Trading Fund LP (Cassatt) and CV Special Opportunity Fund LP (CV Special), that Heckler formed to conceal massive […]

March 9, 2021/US SEC The Securities and Exchange Commission today announced an award of approximately $1.5 million to a whistleblower whose information and assistance led to a successful SEC enforcement action.  “The whistleblower alerted the SEC to previously unknown conduct and thereafter provided multiple submissions, identified potential witnesses, and met […]