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Colorado adviser pays $1.4 million to settle with SEC
The agency charged Ann Vick with fraudulently raising $3.2 million from nearly two dozen investors for pooled investment fund.
SEC halts alleged fraud scheme that ripped off New Mexico seniors
The Securities and Exchange Commission alleges the funds solicited from elderly clients were used on 'lavish personal expenses,' including homes in New York and Santa Fe.
Ex-GPB executive gets 9-month sentence
Former chief compliance officer Michael Cohn was also fined $50,000. A former Securities and Exchange Commission examiner, he was charged in October 2019 with obstruction of justice relating to an SEC investigation of GPB.
Trump pardons provide leniency in cases involving investor harm
Such pardons don’t sit well with securities attorneys, who say they contradict the mission of regulators and send the wrong message to perpetrators.
State regulators disrupt more than 200 pandemic-related frauds
The worst may be yet to come as another wave of scams is expected regarding potential vaccines, the task force announced
