SEC Litigation Releases

Tag: SEC Litigation Releases

Sethi Petroleum, LLC and Sameer Sethi

SEC Halts Fraudulent Oil and Gas Scheme and Obtains Asset Freeze and Appointment of a Receiver Over Sameer Sethi and Sethi Petroleum, LLC

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North Star Finance LLC, Thomas G. Ellis, Yasuo Oda, Thomas H. Vetter, Michael K. Martin, Sharon L. Salinas, Capital Source Funding LLC,…

SEC Halts Advance Fee Loan Scam Targeting Home Building Industry

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Brian D. Jorgenson, et al.

Former Microsoft Employee and His Friend Resolve Insider Trading Case

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Ifitikar Ahmed, et al.

SEC Charges Connecticut-Based Investment Professional with Fraud and Self-Dealing

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ITT Educational Services, Inc., Kevin M. Modany, and Daniel M. Fitzpatrick

SEC Announces Fraud Charges Against ITT Educational Services

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FX & Beyond Corporation and Steve H. Karroum

SEC Files Subpoena Enforcement Action Against Fx & Beyond and Steve H. Karroum

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Christopher A. Novinger, et al.

SEC Sues Retirement Planners for Making False Claims to Investors

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ClearPath Wealth Management, LLC and Patrick Evans Churchville, et al.

SEC Charges Rhode Island Investment Advisory Company and Company Owner with Misusing and Stealing Investor’s Money

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David R. Gibson, et al.

SEC Charges Four Former Officers of Delaware Bank Holding Company with Disclosure Fraud

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Charles H. Merchant, Sr. and Southern USA Resources, Inc.

Final Judgments Entered, Substantial Civil Penalties Ordered Against Two Alabama Based Defendants

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