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Securities and Exchange Commission v. ARO Equity, LLC et al
Case Number:
1:20-cv-10027
Court:
Nature of Suit:
Judge:
Government Agencies
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July 26, 2023
SEC Won't Seek Civil Penalties Against Investment Co. Execs
The U.S. Securities and Exchange Commission won't seek civil monetary penalties against two New England men who were sentenced and ordered to pay roughly $6 million each for scamming seniors through their allegedly unregistered investment company, stating that the restitution the men have been ordered to pay in their criminal cases is sufficient.
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January 09, 2020
SEC Accuses Mass. Co. Of $6M Investment Scam
Two New England men and their allegedly unregistered investment company scammed seniors out of $6 million, lied in their sales pitches and sunk the funds into failing ventures, the U.S. Securities and Exchange Commission said Wednesday.