February 5, 2021/US SEC The Securities and Exchange Commission charged Stephen Scott Moleski (a/k/a Steve Scott) and David Michael with fraud in connection with an investment adviser and private fund enterprise they operated. The SEC also charged Moleski, Michael, and their agent, Erik Christian Jones, with engaging in unregistered offerings […]
Frauds & Scandals
SEC Charges Former Consultant and Board Member with Insider Trading
February 5, 2021/US SEC On February 5, 2021, the Securities and Exchange Commission charged Oregon resident Mark Ahn with insider trading in the securities of Massachusetts-based pharmaceutical company Dimension Therapeutics, Inc. in advance of an August 2017 merger announcement. The SEC’s complaint, filed in federal district court in Massachusetts, charges […]
SEC Charges Investment Adviser and Others With Defrauding Over 17,000 Retail Investors
February 4, 2021/US SEC The Securities and Exchange Commission today charged three individuals and their affiliated entities with running a Ponzi-like scheme that raised over $1.7 billion from securities issued by a New York-based asset management firm and registered investment adviser, GPB Capital. The SEC also charged GPB Capital with […]
