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June 09, 2020

Securities and Exchange Commission v. Roe 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.

Coverage

  1. October 21, 2022

    SEC Gets $550K Of Fines In Penny Stock Scam Case

    The U.S. Securities and Exchange Commission won around $550,000 in civil penalties against a penny stock broker and his company for their roles in an alleged $25 million pump-and-dump scheme.

1 other articles on this case. View all »

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