January 25, 2024
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.
August 25, 2020
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.