Growth Capitalist (https://growthcapitalist.com/tag/enforcement/page/21/)
The founder of N.I.R. Group, Corey Ribotsky, filed for Chapter 7 personal bankruptcy in late December after a year of regulators trying to uncover assets and force the former hedge fund manager to pay his $14.5 million settlement with the Securities and Exchange Commission.
The Securities and Exchange Commission charged Oppenheimer & Co. with violating federal securities laws while improperly selling penny stocks in unregistered offerings on behalf of customers.
The Securities and Exchange Commission on January 29 charged a Chicago-area company its two co-founders, and its former chief operating officer with selling more than nine billion shares of penny stocks without registering with the SEC as a broker-dealer as required under the federal securities laws.
The Securities and Exchange Commission is trying to tack on another enforcement action against the former CEO of Belmont Partners, Joseph Meuse.
