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U.S. Securities and Exchange Commission v. Spartan Securities Group, LTD. et al
Case Number:
8:19-cv-00448
Court:
Nature of Suit:
Judge:
Firms
Government Agencies
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August 02, 2021
SEC Loses Jury Trial Against Spartan In 'Shell Factory' Case
A Florida federal jury on Friday largely rejected the U.S. Securities and Exchange Commission's allegations that Spartan Securities Group Ltd. was complicit in a scheme to create sham companies and fraudulently sell their stock on over-the-counter markets.
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November 23, 2020
SEC Fights To Call Spartan 'Shell Factory' At Trial
The U.S. Securities and Exchange Commission urged a Florida federal court on Friday to reject Spartan Securities' bid to block the use of the term "shell factory" in an upcoming trial over allegations that the broker-dealer was complicit in the creation of sham companies that allegedly fraudulently sold stock.
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August 24, 2020
Broker-Dealer Says SEC Overstepping In Sham Cos. Suit
The U.S. Securities and Exchange Commission is pushing a "radical expansion" of its rules in accusing a broker-dealer and a transfer agent of assisting a scheme to create sham companies and sell free-trading stock to the public, the two businesses told a Florida federal court.
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February 26, 2020
SEC Wins Sanctions Against Brokers For Skipping Mediation
A Florida federal judge on Wednesday sanctioned the two principals of broker-dealer Spartan Securities Group Ltd. for failing to show up to a mediation in the U.S. Securities and Exchange Commission's suit alleging that they schemed to create sham companies and sell "free-trading" stock to the public.