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Tagged with "scam"

Page 1 of 1

Man Charged by SEC for Scam Related to Cannabis Company

Posted on September 10th, 2020 at 2:36 PM
Man Charged by SEC for Scam Related to Cannabis Company

The U.S. Securities and Exchange Commission (“SEC”) has charged Geoffrey Thompson with violations related to the sale of securities in Covalent Collective, a cannabis company founded by Thompson.

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Tipster Informed FBI About College Admissions Scam in Order to Receive A Reduced Sentence for his Role in a Securities Fraud Case

Posted on March 18th, 2019 at 11:26 AM
Tipster Informed FBI About College Admissions Scam in Order to Receive A Reduced Sentence for his Role in a Securities Fraud Case

According to a Wall Street Journal article, California financier, Morrie Tobin provided a critical tip to the FBI about the college admissions scam (aka Operation Varsity Blues) in order to get a reduced sentence for his role in an unrelated securities fraud case.

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SEC Files a Complaint Against Two Florida Individuals and Business Entities for Orchestrating a $21 Million Hotel Project Scam

Posted on August 24th, 2018 at 9:32 AM
SEC Files a Complaint Against Two Florida Individuals and Business Entities for Orchestrating a $21 Million Hotel Project Scam

The SEC has filed a lawsuit against Florida businessmen, Joseph J. Walsh Sr. and Robert V. Matthews, along with their companies, Palm House Hotel LLLP and South Atlantic Regional Center LLC, for defrauding at least 88 investors out of $44 million.

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SEC Charges Barred Broker for Orchestrating Real Estate Scam

Posted on October 6th, 2017 at 9:54 AM
SEC Charges Barred Broker for Orchestrating Real Estate Scam

Former broker Leonard Vincent Lombardo of Long Island, New York, along with his company and business partner, has agreed to settle charges with the SEC for perpetrating an alleged real estate investment scam.

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SEC Settles Lawsuit with Texas Resident Accused of Running an Investment Scam

Posted on September 29th, 2017 at 9:08 AM
 SEC Settles Lawsuit with Texas Resident Accused of Running an Investment Scam

The SEC has settled a lawsuit with Texas resident, James G. Temme along with his company, Stewardship Fund LP allegedly for operating a $25 million fraudulent investment scheme with 100 different individual investors.

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Page 1 of 1
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Some Brokers Sold GPB Private Placements Allegedly with the Worst Wall Street Tactics
February 26th, 2021 at 1:32 PM
Carve-Out Provision Plays A Crucial Role in Morgan Stanley Advisor Transition Battle
February 25th, 2021 at 3:18 PM
Read More »
Latest News
CFP Board is the New Sheriff and it Is Not Your Friend
October 24th, 2020 at 10:04 AM
Defending Against a Customer Complaint First Requires Selecting Correct Legal Counsel
October 15th, 2020 at 10:02 AM
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