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Securities and Exchange Commission v. SW Argyll Investments, LLC et al
Case Number:
3:12-cv-00646
Court:
Nature of Suit:
Judge:
Firms
Government Agencies
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May 16, 2019
Stockbroker Charged In Loan Scheme Must Disgorge $2M
A California federal judge ordered the former president of a Boca Raton, Florida-based stock brokerage to pay about $2 million in disgorgement after he profited off a loan scheme the U.S. Securities and Exchange Commission says began in 2012.
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March 15, 2012
Argyll Accused Of Running $16M Stock-Backed Loan Scam
The U.S. Securities and Exchange Commission on Thursday accused a unit of private equity investor The Argyll Group of orchestrating a stock-collateralized loan scheme that allegedly defrauded borrowers out of more than $16 million.