Exempt Reporting Entities

$125,000 in fines for failing to obtain client consent

Barton Stuck is currently free on bond and is awaiting sentencing

This matter arises out of fraudulent conduct by TitleCard Capital Group, LLC (“TCCG”), an exempt reporting investment adviser with the Commission, and its only managing ...

The net effect of these transactions was that MVP and its personnel were paid, either directly or through the Broker, up-front fees of between eleven ...

Montoya engaged in a scheme to defraud investors in the RMA Fund of millions of dollars. Montoya made fraudulent representations to investors concerning the RMA ...

Batchelor engaged in a fraudulent scheme by, in connection with an unregistered offering of interests in a fund to be managed by the investment adviser ...

When Michael Rothenberg discovered the SEC was investigating his Rothenberg Ventures advisory firm, he e-mailed investors to disclose that he had used $5 million of ...

The Commission’s complaint alleged that, in his role as an investment adviser, Rothenberg schemed to defraud both the venture capital funds he managed and the ...

Based on the long positions reflected in certain accounts at its prime brokers (albeit not an overall net long position in such securities across all ...

A covered associate of Respondent made a contribution to the federal election campaign of an elected state official in Wisconsin and that state office had ...