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Securities & Exchange Commission v. Temenos Advisory, Inc. et al
Case Number:
3:18-cv-01180
Court:
Nature of Suit:
Judge:
Firms
Companies
Sectors & Industries:
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July 01, 2020
Adviser To Pay $2M To Settle SEC Suit Over Risky Investing
A Connecticut-based investment adviser will pay $2 million in disgorgement and civil fines for allegedly investing $19 million in investor money while "grossly understating" inherent risks and failing to conduct even basic due diligence on questionable companies, according to a statement Wednesday from the U.S. Securities and Exchange Commission and its original complaint.
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July 18, 2018
SEC Accuses Investment Adviser, Firm Of Kickback Scheme
The U.S. Securities and Exchange Commission filed a complaint against an investment adviser and his firm in Connecticut federal court on Wednesday, alleging the adviser steered clients toward unsuitable investments in private companies that offered him compensation that was never disclosed.