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Securities and Exchange Commission v. Sztrom et al
Case Number:
3:21-cv-00086
Court:
Nature of Suit:
Judge:
Firms
Government Agencies
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May 12, 2021
Father-Son Investment Duo Can't Duck SEC's Fraud Claims
A California federal judge on Tuesday refused to dismiss U.S. Securities and Exchange Commission claims that a dad impersonated his son in order to give professional financial advice to clients when he was unable to access brokerage platforms himself.
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January 15, 2021
Man Impersonated Son To Defraud Investor Clients, SEC Says
The U.S. Securities and Exchange Commission on Friday filed suit against a father-son duo behind a California wealth management firm, accusing the father of impersonating his son to advise clients despite being banned from broker-dealer platforms.