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February 12, 2020

Securities and Exchange Commission v. Criterion Wealth Management Insurance Services, Inc. et al

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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.

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  1. February 12, 2020

    SEC Sues California Investment Firm Over $1.1M In Side Deals

    The SEC slapped a California investment firm and its directors with a securities suit Wednesday, alleging they failed "to disclose a glaring conflict of their financial interests" when they advised their clients to invest over $16 million in private placement funds and then pocketed over $1.1 million in side deals.

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