Charges from the SEC

Please find below 2 charges from the SEC:

  1. The Securities and Exchange Commission announced that it has charged a former financial adviser with defrauding investors and spending their money on herself and to make Ponzi-like payments to earlier investors in the alleged scheme.
    Please find attached a link for the full story Former Financial Adviser Charged With Defrauding Investors
  2. The Securities and Exchange Commission charged a sports radio personality and another New York City man with stealing millions of dollars from investors who were allegedly promised their funds would be used for the purchase and resale of concert tickets.
    Please find attached a link for the full story Radio Host Charged With Concert Ticket Investment Scam