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SECURITIES AND EXCHANGE COMMISSION v. TRI-BRIDGE VENTURES, LLC et al
Case Number:
3:24-cv-05711
Court:
Nature of Suit:
Judge:
Government Agencies
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May 22, 2025
SEC Drops Dealer Suits In 'Astonishing' Move, Crenshaw Says
The U.S. Securities and Exchange Commission on Thursday dropped several suits targeting businesses for failing to register as securities "dealers" with the agency as required by law, a move that the SEC's sole Democratic commissioner called "astonishing."
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April 30, 2024
SEC Says Penny Stock Firm Failed To Register As A Dealer
The U.S. Securities and Exchange Commission has sued a New Jersey company for allegedly dealing in penny stock without registering as a securities dealer, echoing claims the agency made against a different lender, which the Eleventh Circuit largely affirmed in February.