Year: 2016

The Commission brought a fraud action against a movie producer who is alleged to have misappropriated client funds in two complex transactions. SEC v. Bergstein, Civil Action No. 1:16-cv-08701 (S.D.N.Y. Filed Nov. 9, 2016). The U.S. Attorney’s Office for the …

SEC, USAO Charge Film Producer With Fraud Read More »

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The Commission filed two more “to good to be true” fraud actions yesterday. One centered on an offering fraud involving a recycling firm which repeatedly promised investors that it was about to obtain the financing that would move the company …

SEC Files Two Fraud Actions Read More »

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