RCW Staff

SEC Charges Connecticut Man with Ponzi Scheme Defrauding Retail Investors Litigation Release No. 24629 / September 30, 2019 Securities and Exchange Commission v. James T. ...

Misappropriated money from retail investors that was supposed to be invested in private funds

Advisers systematically overbilled more than 100 of its client accounts for a total amount of over $11.8 million

Fixelle distributed false account statements indicating that investors funds were fully invested and overall earning positive returns. In reality, however, the Complaint alleged, Fixelle misappropriated ...

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Michigan Advisors, Inc. in connection with its mutual fund ...

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser INVP in connection with its mutual fund share class ...

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment advisers HTS and HTIN in connection with mutual fund share ...

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Essex Financial Services, Inc. in connection with its mutual ...

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Folger Nolan Fleming Douglas Capital Management, Inc. in connection ...

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Equity Services, Inc. in connection with its mutual fund ...