May 23, 2013

Securities And Exchange Commission v. Richards

View recent docket activity


Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.


Coverage

  1. August 28, 2014

    Ex-LPL Securities Fraudster Ordered To Pay $2M

    A Georgia federal judge granted the Securities and Exchange Commission summary judgment on Wednesday against an ex-LPL Financial broker who it says independently scammed investors out of nearly $2 million.


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