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Browse: Home / 2019 / November / 01 / Defendant in SEC Enforcement Action Convicted of Securities Fraud and Obstructing the SEC’s Investigation

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

By Securities Docket on November 1, 2019, 8:14 am

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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Posted in SEC, Top | Tagged Obstruction

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