Year: 2010

The Commission filed a complaint against Anthony Banas, co-founder and former Chief Technology Officer of privately held Canopy Financial, Inc. Canopy is a Chicago based company which assists clients in administering and managing their employees’ health savings and flexible spending …

AN ACTION BASED ON A FRAUDULENT PRIVATE PLACEMENT Read More »

The SEC brought another significant market crisis case, SEC v. ICP Asset Management, LLC (S.D.N.Y. Filed June 21, 2010). The action is against ICP Asset Management, LLC, a registered investment adviser owned by ICP Holdco; ICP Securities, LLC, a registered …

ANOTHER SIGNIFICANT MARKET CRISIS CASE Read More »