Steven Enrico Lopez, Sr.: $1.1M Penalty in Securities Fraud Case
Steven Enrico Lopez, Sr. faced securities fraud charges in the Central District of California, resulting in over $1.1 million in disgorgement and penalties.
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disgorgement
5 articles tagged with "disgorgement"
Frederick Harris $75M Prime Bank Scheme - $5.1M Penalty
Frederick Harris and co-defendants orchestrated a $75 million prime bank fraud scheme. The SEC obtained summary judgment, imposing permanent injunctions and penalties.
Betty Ann Rubin: $763K Ponzi Scheme in Oil & Gas Partnerships
Betty Ann Rubin implicated in SEC settlement involving $763,678 disgorgement for Ponzi-like scheme operating through oil and gas limited partnerships.
Michael Lauer's $62.5M Securities and Disclosure Fraud Penalty
Michael Lauer was ordered to pay over $62 million in disgorgement plus a $500,000 civil penalty for securities fraud and disclosure fraud violations.
John Larson's $175K Securities Fraud via Unregistered Sales
John Larson and others settled SEC charges for selling unregistered partnership units using boiler room tactics, resulting in $175,688 disgorgement penalty.