LR-15371 SEC Litigation Release

Civil enforcement action · 1997-05-21 · view release on sec.gov ↗

Defendants

Members Service Corporation, Philip Sung, John R. Silseth II, Union Securities Ltd., David Gilbert, Todd H. Moore, Charles V. Payne, Wall Street Strategies, Inc., Joseph Lanza, Kenneth O'Neal.

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.

Run KYC screen on the defendant

Check this defendant across OFAC + UFLPA + CSL + SAM + OIG + DOJ + CFTC + FINRA + CMS-NH + CFPB + courts + Fed + NHTSA + CISA ↗