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Securities and Exchange Commission v. Swaffer et al
Case Number:
1:22-cv-01554
Court:
Nature of Suit:
Judge:
Firms
Government Agencies
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September 06, 2024
Three Defendants Settle SEC's $14M Pot Co. Securities Suit
The U.S. Securities and Exchange Commission has reached settlements with three defendants who allegedly misappropriated $14 million in investment funds intended for a cannabis enterprise, with the three agreeing to pay back a total of more than $4 million in disgorgements and interest and $3 million in civil penalties.
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May 09, 2023
SEC Aims To Strike Defenses In Pot Biz Securities Suit
The U.S. Securities and Exchange Commission is asking an Ohio federal court to strike several affirmative defenses from a man alleged to have been part of a scheme to pocket millions in investor money intended to fund a cannabis venture, saying those defenses are unavailable or unsupported by any provided facts.
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September 02, 2022
SEC Says Pot Biz Partners Stole Millions From Investors
The U.S. Securities and Exchange Commission has filed suit against a pair of men who allegedly pocketed millions of dollars in investor money that was earmarked to fund the growth and sale of marijuana in the U.S. and Europe.