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November 04, 2019

Securities and Exchange Commission v. Bolton Securities Corporation

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Case Number:

4:19-cv-40143

Court:

Massachusetts

Nature of Suit:

Securities/Commodities

Judge:

Timothy S. Hillman

Firms

Government Agencies

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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. November 04, 2019

    Mass. Investment Co. Did $325M In 'Self-Dealing' Trades: SEC

    Massachusetts-based Bolton Securities Corp. violated federal laws against "self-dealing" trades, racking up $325 million in unlawful transactions, in addition to failing to disclose conflicts of interest, the U.S. Securities and Exchange Commission alleged in a suit filed Monday in Bay State federal court.

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