July 20, 2011
An investment manager settled with the U.S. Securities and Exchange Commission in Georgia on Tuesday over an alleged $4.5 million fraud, agreeing to pay a fraction of the $640,000 the agency said he pocketed.
December 21, 2010
A judge has issued a preliminary injunction against a Georgia investment manager accused by the U.S. Securities and Exchange Commission of defrauding investors in a $4.5 million scheme that traded in unregistered securities.