January 26, 2023
A Florida federal judge has ruled that a former investment company executive cannot escape a suit by the U.S. Securities and Exchange Commission accusing him of making bad recommendations to investors.
November 08, 2022
A former investment company executive told a Florida federal court that the U.S. Securities and Exchange Commission's suit against him should be dismissed, as the facts don't support the agency's claim that he gave unsuitable advice to investors and committed fraud.
July 29, 2022
The U.S. Securities & Exchange Commission has accused a former executive of an investment company of causing more than $1 million in investor losses through bad recommendations, the agency announced Friday, while also announcing settlements with the company and one of its brokers.