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Securities and Exchange Commission v. Boucher et al
Case Number:
3:20-cv-01650
Court:
Nature of Suit:
Judge:
Government Agencies
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January 25, 2024
Calif. Adviser Owes $785K In SEC Account Swindling Case
A California investment adviser must pay nearly $785,000 over U.S. Securities and Exchange Commission claims that he helped himself to funds from his clients' accounts, a California federal judge has determined.
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August 25, 2020
Calif. Adviser Swiped $2.2M From Clients, SEC Claims
The U.S. Securities and Exchange Commission on Tuesday filed suit in California federal court against a California investment adviser and his company, accusing them of fraudulently taking more than $2.2 million from clients.