Portfolio manager Steven Hart made a difficult situation worse. He was under investigation by the SEC. That inquiry focused on whether he had made a series of matched trades. The investigation resulted in an SEC enforcement action. SEC v. Hart, …
Portfolio Manager in SEC Investigation Makes a Bad Day Worse Read More »
The Commission charged recidivist securities law violator Nicholas Geranio and others with running a complex international manipulation and boiler room operation for over two years which fleeced investors out of over $35 million. SEC v. Gerandio (C.D. Cal. Filed May …
SEC CHARGES RECIDIVIST IN INTERNATIONAL MANIPULATION Read More »