SEC Sues Dead Adviser's Estate Over $29M Ponzi Claims

By Sarah Jarvis · October 18, 2022, 9:05 PM EDT

The U.S. Securities and Exchange Commission said Tuesday it has filed suit against the estate of a now-deceased registered investment adviser representative over claims that he raised $29 million from investors...

To view the full article, register now.

Documents

Case Information

Case Title

Securities and Exchange Commission v. Swensen, Stephen Romney The Estate of et al

Case Number

1:22-cv-00135

Court

Utah

Nature of Suit

Securities/Commodities

Date Filed

October 14, 2022