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Tag Archives: Investment Company Act
SEC Charges Gary Snisky with Defrauding Elderly Investors
SEC v. Gary C. Snisky, Case No. 1:13-cv-03149 (D. Colo.). On November 21, 2013, the SEC announced it charged Gary Snisky with defrauding elderly investors. According to the SEC, Snisky targeted retired annuity holders by using insurance agents to sell … Continue reading
SEC Charges Daniel Bergin with Front Running
SEC v. Daniel Bergin, et al., Case No. 3:13-cv-1940 (D. TX.). On May 24, 2013, the SEC announced it filed an emergency action and obtained an asset freeze against Daniel Bergin, an equity trader at Cushing MLP Asset Management. According … Continue reading
Posted in Securities
Tagged Fraud, Investment Company Act, SEC, Securities Exchange Act
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SEC Charges Investment Advisory Firms and Portfolio Managers For Collapse of Mutual Fund
In the Matter of Claymore Advisors, LLC, Admin. Proc. File No. 3-15139; In the Matter of Mohamed Riad and Kevin Timothy Swanson, Admin. Proc. File No. 3-15141; In the Matter of Fiduciary Asset Management, LLC, Admin. Proc. File No. 3-15140. … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, Investment Company Act, SEC, Securities Exchange Act
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SEC Charges Edward M. Laborio In Boiler Room Scheme
Securities and Exchange Commission v. Edward M. Laborio, Jonathan Fraiman, Matthew K. Lazar, Envit Capital, LLC, Envit Capital Group, Inc., Envit Capital Holdings, Inc., Envit Capital Private Wealth Management, LLC, Envit Capital Multi Strategy Mixed Investment Fund I LP, Aetius … Continue reading
Fund Adviser AMMB Consultant Sendirian Berhad Agrees to Pay More than $1.5 million to settle SEC Charges
Securities and Exchange Commission v. AMMB Consultant Sendirian Berhad, Case No. 1:12-cv-01052 (D.D.C.). On June 26, 2012, the SEC sued AMMB Consultant Sendirian Berhad (“AMC”), a Malaysian investment adviser, for charging a U.S. registered fund for over a decade for advisory services that AMC did … Continue reading
Securities Enforcement Blog 