October 14, 2022
Securities and Exchange Commission v. Swensen, Stephen Romney The Estate of et al
Case Number:
1:22-cv-00135
Court:
Nature of Suit:
Judge:
Firms
Government Agencies
View recent docket activity
Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.
Coverage
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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.
Parties
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