Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPA
Order Making Findings, Imposing Remedial Sanctions, and a Cease-and-Desist Order Pursuant to Section 4C of the Securities Exchange Act of 1934, Section 203(k) of the Investment Advisers Act of 1940, and Rule 102(e) of the Commission's Rules of Practice
Gregory Lemelson, Lemelson Capital Management, LLC, and The Amvona Fund
SEC Obtains Final Judgment Against Hedge Fund Adviser Who Jury Found Liable for Securities Fraud
Richard G. Duncan
SEC Obtains Final Judgment Against Massachusetts Investment Adviser for Persuading Retail Investors to Place Money Into an Overseas Scam
Chatfield PCS Ltd. et al.
SEC Obtains Final Judgment Against Defendants Charged with Fraud Involving Sham Bottling Company
Spruce Investment Advisors, LLC
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Goldstone Financial Group, LLC, Anthony Pellegrino and Michael Pellegrino
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Section 15(b) of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a...
Knox et al.
SEC Obtains Final Judgment Ordering Individual to Pay Over $17 Million for Facilitating Multi-Million Dollar International Fraud Scheme
