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MLex

June 04, 2025

Securities and Exchange Commission v. El Capitan Advisors, Inc. et al

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Case Number:

2:25-cv-05066

Court:

California Central

Nature of Suit:

Securities/Commodities

Judge:

John A. Kronstadt

Firms

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. June 05, 2025

    Calif. Adviser, CEO To Pay $21M To End SEC Theft Claims

    A California investment adviser and its CEO have agreed to pay over $21 million to end U.S. Securities and Exchange Commission claims they misappropriated over $15.3 million from a cannabis industry client — including $4.6 million used to buy a home — and overstated its assets under management in regulatory filings.

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