May 16, 2019
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.
March 15, 2012
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.