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Securities and Exchange Commission v. Weiss et al
Case Number:
1:15-cv-13460
Court:
Nature of Suit:
Judge:
Firms
Companies
Government Agencies
Sectors & Industries:
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June 03, 2016
Mass. Investment Adviser To Pay $10M To End SEC Fraud Suit
The U.S. Securities and Exchange Commission asked a Massachusetts federal judge on Friday to approve a $10 million settlement between the agency and an investment adviser and his firm, which were accused of misappropriating investments and concealing conflicts of interest.
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September 29, 2015
SEC Hits Mass. Investment Adviser With Fraud Suit
The U.S. Securities and Exchange Commission accused a Massachusetts investment adviser and his firm of misappropriating investments from a hedge fund and individual clients and concealing conflicts of interest, according to a complaint filed Monday in federal court.