LR-19137 SEC Litigation Release
Defendants
Bryan James Hawes, Financial Management Advisory Services, Inc., and Financial Management Services, Inc., (Defendants) and Alpha & Omega Transportation, Inc. (Relief Defendant)
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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