8/11/2018/US SEC The Securities and Exchange Commission has charged an individual and seven corporate entities that he controlled with defrauding investors through the promotion and operation of a multimillion dollar Ponzi and pyramid scheme. The SEC alleges that Eric J. “EJ” Dalius, who pled guilty in 2001 to criminal charges […]
Frauds & Scandals
SEC Charges Florida Man in Day Trading Scheme
8/11/2018/US SEC On November 7, 2018, the Securities and Exchange Commission charged Florida resident Ricardo H. Goldman for fraudulently operating an unregistered securities day trading firm. According to the SEC’s complaint, Goldman misled dozens of day traders into thinking they were opening individual online securities trading accounts with Goldman’s broker-dealer, […]
SEC Charges California Software Consultant with Insider Trading
8/11/2018/US SEC The Securities and Exchange Commission yesterday charged a California-based software consultant with insider trading based on material, nonpublic information he misappropriated from his brother, an executive at Surgical Care Affiliates, Inc., an Illinois-based healthcare company. The SEC alleges that Slobodan Dragojlovic misappropriated from his brother material, nonpublic information […]
