February 23, 2021/US SEC The Securities and Exchange Commission today announced an award of more than $9.2 million to a whistleblower who provided information that led to successful related actions by the U.S. Department of Justice, one of which was a non-prosecution agreement (NPA) or deferred prosecution agreement (DPA). The […]
Frauds & Scandals
SEC Obtains Final Judgment Against Connecticut Investment Adviser Who Misappropriated Funds from Clients
February 22, 2021/US SEC The Securities and Exchange Commission today announced the entry of a final judgment against former Connecticut investment adviser James T. Booth. The SEC complaint, filed on September 30, 2019, alleges that Booth operated a multi-million dollar Ponzi scheme that bilked over three dozen retail investors, including […]
SEC Awards Almost $3 Million Total in Separate Whistleblower Awards
February 19, 2021/US SEC The Securities and Exchange Commission today announced two separate whistleblower awards for total payments of almost $3 million. In the first order, the SEC awarded a whistleblower over $2.2 million for providing important, high-quality information that aided an investigation. The whistleblower’s tip helped the SEC bring […]
