Growth Capitalist (https://growthcapitalist.com/tag/enforcement/page/3/)
Steven Muehler is no stranger to securities regulators, despite never having a securities license. The SEC has tracked his involvement in the sale of unregistered securities dates back to at least 2008.
A California securities offering promoter who was the subject of the very first SEC enforcement action taken against a participant in the newly reformed Reg A market has been linked to a group of websites claiming to offer capital-hungry companies and their investors a soup-to-nuts money raising experience in exchange for cash fees and shares, despite lacking the necessary securities licenses to do so legally, and in seeming defiance of a recent ban imposed by the agency.
A Houston- based woman who owns a debt collection business is accused of making material misstatements to the Securities and Exchange Commission in connection with a Tier 1 Regulation A offering.
An ex-portfolio manager at Visium Asset Management LP corruptly sought to boost the value of one of its hedge fund's holdings, defrauding investors while enabling the investment firm to earn millions of dollars, a U.S. prosecutor told jurors on Wednesday. via Ex-Visium hedge fund manager cheated investors, U.S. jury hears | Reuters.
