LR-14676 SEC Litigation Release

Civil enforcement action · — · view release on sec.gov ↗

Defendants

Penn Capital Financial Services, Inc., PennCapital Management, Inc., Roy Plaza, Helen A. Roy, Christopher E.Beimel, William P. Hogan, Bruce Batley, Daniel D. Beimel, John W.Ford, John T. Jarvis and Louis A. Miller

What this is

SEC Litigation Releases are the canonical "civil enforcement" docket. The SEC files civil actions in federal court against individuals and entities for securities-law violations — fraud, insider trading, Ponzi schemes, registration violations, misleading disclosures, market manipulation. Each release announces a filing, a settlement, or a final judgment.

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