Daily Archives: November 1, 2019, 8:14 am

Defendant in SEC Enforcement Action Convicted of Securities Fraud and Obstructing the SEC’s Investigation

On October 28, 2019, a Massachusetts man charged by the Securities and Exchange Commission with misleading investors was found guilty of securities fraud and of obstructing the SEC’s investigation by a federal jury in a parallel criminal case. The SEC’s civil action remains pending. via Defendant in SEC Enforcement Action Convicted of Securities Fraud and Obstructing the SEC’s Investigation

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