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Securities And Exchange Commission v. Arete Wealth Management, LLC. et al
Case Number:
1:25-cv-00616
Court:
Nature of Suit:
Judge:
Firms
- Baker McKenzie
- Barnes & Thornburg
- Katten & Temple
- Kopecky Schumacher
- Pierson Ferdinand LLP
- UB Greensfelder
Companies
Government Agencies
Sectors & Industries:
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April 08, 2025
Compliance Chief Wants Out Of SEC Fraud Suit
The chief compliance officer and general counsel of a wealth management firm has urged an Illinois federal judge to dismiss him from a U.S. Securities and Exchange Commission suit over an alleged offering fraud by former representatives at his firm, saying "the commission does not even understand what its own pleading burden in this case is."
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January 21, 2025
SEC Sues Ex-Investment Firm Reps, GC Over 'Sham' Energy Co.
The U.S. Securities and Exchange Commission has accused former representatives of a wealth management firm of selling shares of a "sham" oil and gas company, and separately accused the firm's general counsel and chief compliance officer of playing an "active role" in the alleged misconduct by drawing up liability releases for the firm.