Tag: investment adviser fraud

The SEC prevailed in a pair of litigated cases this week. First, in SEC v. EagleEye Asset Management, LLC, Civil Action No. 11-CV-11576 (D. Mass.) a jury returned a verdict in favor of the Commission and against registered investment adviser …

SEC Prevails in Two Cases Read More »

Tagged with: , ,

The SEC filed an action against a Texas and Mexico based unregistered investment adviser, Jorge Gomez, charging that he misappropriated millions of dollars from one client. The Commission’s complaint also named as a defendant the broker and investment adviser for …

COMMISSION NAMES ADVISER AND FINDER IN FRAUD ACTION Read More »

Tagged with: , ,