SEC Charges Repeat Offender Edward Tackaberry With Acting as an Unregistered Broker-Dealer

SEC v. Edward Tackaberry, Case No. 6:12-Civ-06512 (W.D.N.Y.).  On September 21, 2012, the SEC announced charges against Edward Tackaberry.  Tackaberry acted as a broker-dealer by discussing investments with investors, negotiating their investments and documenting the deals.  At the time Tackaberry was soliciting investments, he was the subject of an SEC order barring him from associating with a broker-dealer.  The bar was imposed after Tackaberry was enjoined from violating the federal securities laws in a prior SEC action against him.  Tackaberry is charged with violating Sections 15(a) and 15(b)(6)(B)(i) of the Exchange Act.  Without admitting or denying the charges, he agreed to the entry of an injunction against further violations of these provisions of the Exchange Act.

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