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Securities and Exchange Commission v. Lufkin Advisors, LLC et al
Case Number:
9:23-cv-81289
Court:
Nature of Suit:
Judge:
Firms
Government Agencies
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June 25, 2024
Adviser, Firm Owe SEC $425K For Mishandling Crypto Assets
A Florida federal judge on Tuesday approved approximately $425,000 in settlements in a suit by the U.S. Securities and Exchange Commission against an investment adviser and its owner, alleging they hid investment strategies and lost control of the firm's recordkeeping, preventing them from accessing crypto assets possibly worth $10 million.
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September 21, 2023
SEC Says Adviser Lost Crypto Account Keys, Hid Investments
The U.S. Securities and Exchange Commission has sued an investment adviser and its owner over claims that they hid investment strategies and lost control of the firm's record keeping, preventing them from accessing a wallet of crypto assets possibly worth $10 million.