The SEC alleges that Joshua Louis Rupp raised over $2.2 million from about 20 investors to trade securities on their behalf.
The SEC accuses Charlie Abujudeh of engaging in fraudulent schemes to sell publicly traded stock to retail investors.
Emil Botvinnik will have to pay $1.5 million to the SEC to settle charges of defrauding retail customers.
The Securities and Exchange Commission (SEC) has obtained final judgment against recidivist securities law violator Geoffrey Thompson.
The SEC goes after former investment adviser Jacob C. Glick, who defrauded advisory clients, including senior citizens and retirees.
The SEC has launched an action targeting ConTXT, Inc. and securities fraud recidivists Thomas J. Robbins and Daniel J. Merriman.
The judgment, inter alia, orders Joseph Taub to pay disgorgement of $17.1 million.
The SEC has taken Roger E. Dobrovodsky, who served as an unregistered broker on behalf of 1 Global Capital, to Court.