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Mealeys

MLex

October 14, 2022

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

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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. September 19, 2023

    SEC, Adviser's Estate Reach Terms To End $29M Ponzi Suit

    The estate of a deceased registered investment adviser representative has agreed to settle U.S. Securities and Exchange Commission allegations that he defrauded over 50 investors out of at least $29.3 million and spent the money on planes, his mistresses and his family.

1 other articles on this case. View all »

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