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June 07, 2016

United States Securities and Exchange Commission v. Providence Financial Investments, Inc. et al

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Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.

Coverage

  1. July 06, 2018

    Providence Financial To Pay SEC $49.5M To End Fraud Claims

    A bankrupt Florida-based investment firm has agreed to pay more than $49.5 million to end a U.S. Securities and Exchange Commission suit in Minnesota federal court alleging it raised more than $64 million from 400 investors with a fraudulent securities offering, according to a consent order entered Friday.

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