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United States Securities and Exchange Commission v. Findley et al
Case Number:
3:20-cv-00397
Court:
Nature of Suit:
Judge:
Firms
Government Agencies
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July 18, 2024
Cozen O'Connor Targets Penny Stock Co. CEO For Legal Fees
Cozen O'Connor is asking a Connecticut state court judge to affirm two Pennsylvania judgments against a penny stock company CEO who lost a federal enforcement action, alleging Bernard Findley and two of his companies owe nearly $750,000 in legal fees.
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February 22, 2024
Penny Stock Co. CEO Must Pay $473K Over Fraud Claims
A Connecticut federal judge granted in part the U.S. Securities and Exchange Commission's motion for final judgment in a securities fraud suit against the CEO of a penny stock company, finding that a less severe punishment than requested is appropriate due to the CEO's financial situation.
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May 17, 2023
Penny Stock Co. CEO Pushes Back On SEC Judgment Bid
The CEO of a penny stock company who was found liable for securities fraud has asked a Connecticut federal court to deny the U.S. Securities and Exchange Commission's bid for a final judgment against him, saying, among other things, that an injunction would hurt investors.
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April 26, 2023
SEC Seeks Injunction, $836K Against Penny Stock Co.'s CEO
The U.S. Securities and Exchange Commission asked a Connecticut federal judge to order the CEO of a penny stock company to pay more than $836,000 and to permanently enjoin him from participating in a penny stock offering or from acting as an officer of a public company after a jury found him liable for lying to investors.
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January 18, 2023
SEC Wins Mixed Jury Verdict Against Penny Stock Co.
The U.S. Securities and Exchange Commission on Wednesday touted a courtroom victory against the CEO of a penny stock company convicted of lying to investors, but the lead defense attorney told Law360 that the SEC dropped a crucial fraud claim against his client at the eleventh hour.