SEC Sues NC Investment Adviser Over Bogus Guarantees

By Hayley Fowler · July 30, 2024, 6:03 PM EDT

A North Carolina investment adviser lied to clients about the safety of their investments when he sold them on risky corporate bonds issued by a financial services company that went bankrupt,...

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Documents

Complaint

Case Information

Case Title

U.S. Securities and Exchange Commission v. Moretz

Case Number

Court

North Carolina Western

Nature of Suit

Securities/Commodities

Date Filed

July 29, 2024

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