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December 05, 2017

U.S. Securities and Exchange Commission v. Tao et al

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Case Number:

4:17-cv-03678

Court:

Texas Southern

Nature of Suit:

850(Securities/Commodities)

Judge:

Judge Lynn N Hughes

Government Agencies

View recent docket activity

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

Coverage

  1. December 06, 2017

    Broker, SEC Settle Suit Over Unregistered PE Fund

    A former Houston-based financial adviser who ran a branch office for a registered brokerage firm on Wednesday settled fraud allegations leveled by the U.S. Securities and Exchange Commission in a suit in Texas federal court alleging he misled investors while raising $860,000 for a fund with no connection to the firm for which he worked.

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