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August 21, 2024

Securities and Exchange Commission v. DeCaprio et al

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Case Number:

1:24-cv-12144

Court:

Massachusetts

Nature of Suit:

Securities/Commodities

Judge:

Julia E. Kobick

Government Agencies

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Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.

Coverage

  1. August 21, 2024

    Fla. Adviser Settles SEC Dispute Over Alleged Audit Lies

    A Florida-based investment adviser has settled a dispute with the U.S. Securities and Exchange Commission over allegations he breached his fiduciary duties when he lied to investors about completing required audits on their investment funds, according to documents filed Wednesday in Boston federal court.

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