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Securities and Exchange Commission v. Lester et al
Case Number:
1:15-cv-02301
Court:
Nature of Suit:
Securities, Commodities, Exchange
Judge:
Firms
Companies
Government Agencies
Sectors & Industries:
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December 16, 2015
PE Manager Slams SEC Fraud Case Over $2.8M Deal
A Colorado private equity manager said Tuesday that the U.S. Securities and Exchange Commission can't pursue an enforcement suit over an alleged $2.8 million diversion of funds to a failing fund, arguing that the SEC hasn't shown anything fraudulent about the transaction.
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October 19, 2015
SEC Sues Fund Manager For Diverting $2.8M To Failing Fund
The U.S. Securities and Exchange Commission said Friday that a Colorado investment manager and his firm allegedly violated federal securities laws when they propped up a failing company by diverting $2.8 million in investors' money.