Tag: offering fraud
SEC Charges Unlicensed Adviser with Orchestrating $3 Million Offering Fraud
The Securities and Exchange Commission has charged Alexander Rowland with the fraudulent offer and sale of nearly $3 million of securities to approximately 122...
SEC Charges Previously-Barred Broker and His Firm with Offering Fraud
The Securities and Exchange Commission has charged a broker previously barred by the Financial Industry Regulatory Authority, and his wholly-owned firm, for a multi-year...
