SEC, Prolific Trader Square Off In Unregistered Dealer Suit

By Emilie Ruscoe · March 27, 2023, 10:30 PM EDT

A purported penny stock trading firm and the U.S. Securities and Exchange Commission have both urged a Minnesota federal judge to deny their opponent an early victory in the regulator's enforcement action...

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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