March 30, 2012
The U.S. Securities and Exchange Commission will seek up to $13 million in its suit against a former officer at failed New York investment firm West End Financial Advisors LLC, whose CEO has already admitted involvement in criminal fraud, the agency said Friday.
October 27, 2011
A New York federal judge on Wednesday refused to throw out a U.S. Securities and Exchange Commission case accusing an officer of West End Financial Advisors LLC of hiding the rampant mismanagement of $66.7 million in investments.