If you’ve suffered significant investment losses as the result of securities fraud you should consult with an SEC attorney about your case. A qualified securities[...]
Securities and Exchange Commission (SEC)
The Securities and Exchange Commission (commonly referred to as the SEC) is a government agency whose mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. When investment advisors, stockbrokers, and investment firms violate SEC rules, the investors who rely on those entities to handle their funds in a responsible and ethical manner often sustain significant losses.
If your advisor or investment firm has been charged with violating SEC rules, contact our SEC attorneys today for a free consultation: 305.912.3000.
On June 16, 2022, the U.S. Securities and Exchange Commission filed its first complaint alleging violations of the care obligation and the compliance obligation of[...]
According to its 2019 SEC filing, Arcadian New Venture Fund is a Venture Capital Fund located in California. The fund purportedly raised $21.81M from 50[...]
The firm and its principals are accused of operating a multi-year scheme that yielded millions of dollars. The SEC charged New Jersey-based claims aggregator and[...]
Muntin is accused of defrauding one of his clients out of more than $314,000. On November 5, 2021, the SEC charged Michigan resident Steven F.[...]
At the time of the alleged misconduct, Rege was already barred from being in the investment advisory business. The SEC filed charges against Swapnil J.[...]
William B. McHenry and his company, First South Investments, LLC, are accused of selling $31 million in unregistered securities. The SEC filed charges against Mississippi[...]
Jason Dodd Bullard and Angela Romero-Bullard are accused of perpetrating a Ponzi scheme by the SEC. Jason Dodd Bullard and Angela Romero-Bullard, a married couple[...]
Ruiz is accused of targeting elderly investors in his fraudulent scheme. Martin Ruiz, a New York investment adviser, is accused of fraud in connection with[...]
Security Exchange Commission (SEC) Complaints Overview Investment and securities fraud is a serious issue in the United States. At Sonn Law Group, our dedicated SEC[...]