SEC Says Trader Scored $14M Profit As Unregistered Dealer

By Caleb Drickey · September 27, 2021, 6:48 PM EDT

The U.S. Securities and Exchange Commission has alleged that a securities trader operating out of his suburban Minnesota home pulled in millions in brokerage fees and penny stock issuances without ever registering...

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Documents

Case Information

Case Title

United States Securities and Exchange Commission v. Carebourn Capital, L.P. et al

Case Number

0:21-cv-02114

Court

Minnesota

Nature of Suit

Securities/Commodities

Date Filed

September 24, 2021