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United States Securities and Exchange Commission v. Wealth Management LLC et al
Case Number:
1:09-cv-00506
Court:
Nature of Suit:
Judge:
Firms
- Amundsen Davis
- Boardman & Clark
- DeWitt LLP
- Godfrey & Kahn
- Herrick Feinstein
- Husch Blackwell
- Quarles & Brady
- Seward & Kissel
- Steinhilber Swanson
Companies
Government Agencies
Sectors & Industries:
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February 26, 2010
Ex-Wealth Management Exec, SEC Strike $1.4M Deal
The U.S. Securities and Exchange Commission has settled for $1.4 million a suit against an ex-Wealth Management LLC executive accusing him of taking kickbacks and steering retirees to risky investments he touted as conservative.
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November 11, 2009
Wealth Management Exec's Claims Against SEC Nixed
Ruling that federal law bars counterclaims in U.S. Securities and Exchange Commission enforcement actions, a judge has said a Wealth Management LLC executive accused of taking $2.5 million in kickbacks can't strike back against the agency.
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May 21, 2009
SEC Hits Wealth Management Over $2.5M Kickbacks
Two Wealth Management LLC executives illegally accepted $2.5 million in kickbacks and directed retirees to illiquid, risky investments that were unsuitable for them, the U.S. Securities and Exchange Commission has alleged.