Daily Archives: May 6, 2023, 9:10 am

SEC Obtains Judgment Against Former CEO and General Counsel Who Raised Millions of Dollars from Investors Through False Statements

On May 3, 2023, the United States District Court for the District of Connecticut entered a final judgment against former Connecticut resident Ronald D. Swanson ordering him to pay over $927,000 in disgorgement and penalties in a securities offering fraud action previously filed by the SEC in May 2020. The Court also ordered Swanson barred from serving as the officer…

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