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Securities and Exchange Commission v. Roe et al
Case Number:
1:20-cv-11092
Court:
Nature of Suit:
Judge:
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Companies
Government Agencies
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October 21, 2022
SEC Gets $550K Of Fines In Penny Stock Scam Case
The U.S. Securities and Exchange Commission won around $550,000 in civil penalties against a penny stock broker and his company for their roles in an alleged $25 million pump-and-dump scheme.
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June 12, 2020
$25M Penny Stock Scam Used COVID-19 Ruse, Feds Say
A $25 million pump-and-dump stock fraud scheme duped investors with bogus claims that shell companies could make face masks or produce contactless vending machines during the COVID-19 pandemic, federal prosecutors and securities regulators in Massachusetts said.