SEC Prevails Over Prolific Trader In Unregistered Dealer Suit

By Katryna Perera · September 27, 2023, 7:24 PM EDT

A Minnesota federal judge ruled in favor of the U.S. Securities and Exchange Commission Wednesday in an enforcement action accusing a company of making over $14 million from selling securities as...

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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