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Tag Archives: Investment Advisers Act
SEC Charges Northern California Investment Adviser in $60 Million Ponzi Scheme
SEC v. GLR Capital Management, LLC, et al., Case No. CV 12-2663 HRL. Yesterday, the SEC charged John A. Geringer of running a $60 million investment fund like a Ponzi scheme. Geringer, who managed the GLR Growth Fund, misled investors … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Charges Fund Manager for Secretly Diverting Funds to His Own Companies
SEC v. Mark F. Spangler and The Spangler Group, Inc., Case No. 2:12-cv-00856 (D. Wash.). On May 17, 2012, the SEC announced that it filed an action against Mark Spangler, a former chairman of the National Association of Personal Financial … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Exchange Act
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Securities Enforcement Blog 