Year: 2020

Raymond J. Lucia, owner of a Commission registered investment adviser, concluded an administrative proceeding that charged him with various violations of the Advisers Act in September 2012. In the Matter of Raymond J. Lucia Companies, Inc., Adm. Proc. File No. …

What Would Have Happened? The Long Trek of Raymond Lucia Read More »

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Pump-and-dump schemes taking advantage of unsuspecting investors have long been a Commission staple. Over the years the agency has brought an almost continuous stream of these cases, all with a familiar pattern: The manipulator secretly gets control of the shares, …

Another Manipulation Tied to COVID-19 Read More »

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