Category: SECActions

Offering frauds are one of the most prevalent types of cases brought by the Commission. In many of these cases the perpetrator is not known to those conducting the fraud.  Yet investors frequently step-up,  listen to the pitch and then …

Claims About Nutrient-infused Water Yield Millions Read More »

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It is axiomatic that an investment adviser is duty bound to act in the best interest of the client.  This means in part that the adviser must put the interests of the client before their personal interests.  Indeed, investment advisers …

Adviser Builds His New Firm While At Another Read More »

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