Tagged with "fraud case"

SEC Charge GPB Capital Executive and Others With Fraud

Posted on February 9th, 2021 at 2:33 PM
SEC Charge GPB Capital Executive and Others With Fraud

The Securities and Exchange Commission (SEC) charged three individuals and their entities with running a scheme that raised over $1.7 billion from securities issued by a New York based management firm and GPB Capital.

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SEC Charges Former Stifel Advisor with Fraud

Posted on September 18th, 2020 at 8:51 AM
SEC Charges Former Stifel Advisor with Fraud

The U.S. Securities and Exchange Commission (“SEC”) charged Steven Rodemer with defrauding an elderly widow.

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SEC Drops Fraud Case After $63 Million Repaid to Investors

Posted on September 17th, 2020 at 3:21 PM
SEC Drops Fraud Case After $63 Million Repaid to Investors

The U.S. Securities and Exchange Commission settled a case it brought relating to a $110 million “Ponzi-like” scheme.

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