April 22, 2024
A former California securities broker serving a prison term for a $150 million pump and dump scheme said Monday that a companion civil case brought by the Securities and Exchange Commission does not belong in Massachusetts.
June 14, 2023
A California broker helped facilitate a $20 million penny stock manipulation scheme by falsely claiming the people who worked to control the stocks were his clients, the U.S. Securities and Exchange Commission has alleged in a suit.