JD Supra

SEC Enforcement Action – Failure to File Forms D

On December 20, 2024, the U.S. Securities and Exchange Commission (SEC) announced that it settled charges issued against one registered investment adviser and two private companies for failing to file ...
JD Supra

SEC Enforcement Actions for Failure to File Form D: A Wake-up Call for Startups and Private Fund Advisers

On December 20, 2024, the U.S. Securities and Exchange Commission (the “SEC”) issued a press release highlighting settled enforcement actions against a private fund adviser and two pre-IPO companies ...
Noozhawk

SEC Files Charges Against Orcutt Financial Adviser Accused of Fraud

The U.S. Securities & Exchange Commission has filed charges against an Orcutt financial adviser accused of defrauding nine victims of more than $2 million. The legal action occurred days before the ...
Hosted on MSN

SEC says it won’t re-file fraud case against Hex’s Richard Heart

The US Securities and Exchange Commission has said it doesn't intend to refile its securities fraud complaint against Hex founder Richard Schueler, who goes by Richard Heart. “Plaintiff Securities and ...
Washington Examiner

SEC files fraud charges against Ore. fund manager

PORTLAND, Ore. (AP) — The Securities and Exchange Commission filed fraud charges Thursday against a Portland man accused of running a Ponzi scheme that raised more than $37 million. The SEC alleges ...