Tag: fraud

A management company, its principal, a brokerage firm and its founder were charged with fraud in an administrative proceeding initiated by the Commission. In the Matter of John Thomas Capital Management Group LLC, Adm. Proc. File No. 3-15255 (March 22, …

Brokerage Founder and Fund Manager Charged With Fraud by SEC Read More »

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The SEC charged the State of Illinois with misleading investors when selling about $2.2 billion in municipal bonds over a four year period beginning in 2005. The proceeding alleges violations of Securities Act Sections 17(a)(2) and (3). In the wake …

SEC Charges State of Illinois with Misleading Investors Read More »

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