LR-15361 SEC Litigation Release

Civil enforcement action · 1997-05-08 · view release on sec.gov ↗

Defendants

John F. Aptt, Financial Instruments Group, Financial Instruments Corporation, World Financial Instruments, Global Financial Instruments, International Financial Instruments, National Financial Instruments and Regional Financial Instruments

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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