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From U.S. Securities and Exchange Commision. Original Press Release found here. On June 11, 2020, the U.S. District Court for the District of Massachusetts entered final judgments against two relief defendants, Brad and Brian Herman, in connection with the SEC’s civil action against Massachusetts-based investment adviser Gregg Caplitz and his former advisory firm. These judgments conclude the […]

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From U.S. Securities and Exchange Commision. Original Press Release found here. On June 10, 2020, the U.S. District Court of the Southern District of Florida entered a final judgment against relief defendant Rhoda Burkholz of Boca Raton, Florida, who has agreed to pay over $250,000 to resolve the SEC’s action against her for allegedly receiving proceeds from […]

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From U.S. Securities and Exchange Commision. Original Press Release found here. The Securities and Exchange Commission announced that on June 3, 2020 the United States District Court for the Central District of California entered a preliminary injunction and orders freezing assets and imposing other relief against California-registered investment adviser Paul Horton Smith, Sr. and his entities in […]

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From U.S. Securities and Exchange Commision. Original Press Release found here. On May 20, 2020, the U.S. District Court for the Southern District of Indiana entered a final judgment against Steele Financial, Inc., an Indianapolis-based investment advisory firm, and its sole owner, Tamara Steele. In a separate administrative proceeding, the SEC also barred Steele from the securities […]