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Richard W. Davis, Jr., et al. - Securities and Exchange Commission

www.sec.gov/litigation/litreleases/2016/lr23554.htm

Jun 2, 2016 ... Securities and Exchange Commission v. Richard W. Davis, Jr., et al., Civil Action No. 3:16-cv00285 (W.D.N.C.). SEC: Adviser Steered Investor ...

Richard W. Davis, Jr., et al. - Securities and Exchange Commission

www.sec.gov/litigation/complaints/2016/comp-pr2016-104.pdf

Jun 2, 2016 ... Plaintiff Securities and Exchange Commission alleges as follows: ... The Commission brings this action to enjoin Defendant Richard W. Davis, Jr. ..... of the Commission, appointing a receiver over the Relief. Defendants. V.

Complaint Against H. Thomas Davis, Jr. - Securities and Exchange ...

www.sec.gov/litigation/complaints/2012/comp-pr2012-193-davis.pdf

Sep 20, 2012 ... SOUTHERN DIVISION. SECURITIES AND EXCHANGE. COMMISSION,. Plaintiff, v. H. THOMAS DAVIS, JR.,. Defendant. Civil Action No.

Litigation Release No. 18322 - Securities and Exchange Commission

www.sec.gov/litigation/litreleases/lr18322.htm

Sep 4, 2003 ... SECURITIES AND EXCHANGE COMMISSION v. PETER J. DAVIS, JR., JOHN M. YOUNGDAHL and STEVEN E. NOTHERN (United States ...

SEC charges Charlotte investment adviser with fraud | The Charlotte ...

www.charlotteobserver.com/news/business/banking/article81380327.html

Jun 2, 2016 ... The SEC alleged that Richard Wyatt Davis Jr., 39, breached his fiduciary duty and failed to disclose his self-dealing to all of his investors.

This Week In Securities Litigation (Week ending June ... - SEC Actions

www.secactions.com/this-week-in-securities-litigation-week-ending-june-3-2016/

Jun 2, 2016 ... Offering fraud: SEC v. Davis, Civil Action No. ... action which names as a defendant Richard Davis, Jr., an unregistered investment adviser. Mr. Davis, while soliciting funds to invest in securities, began offering interests in “hard ...

18453 - Securities and Exchange Commission

www.sec.gov/litigation/litreleases/lr18453.htm

Nov 12, 2003 ... SECURITIES AND EXCHANGE COMMISSION v. PETER J. DAVIS, JR., JOHN M. YOUNGDAHL and STEVEN E. NOTHERN (United States ...

SEC Charges Investment Adviser with Fraud for Steering Money to ...

www.newyorksecuritieslawyerblog.com/2016/06/sec-charges-investment-adviser-fraud-steering-money-companies.shtml

Jun 17, 2016 ... On June 2, 2016, the Securities and Exchange Commission (“SEC”) charged Richard W. Davis Jr. (“Davis”), a North Carolina-based investment ...

Securities/Commodities/Exchanges Cases, Dockets and Filings in ...

dockets.justia.com/browse/state-north_carolina/noscat-13/nos-850

North Carolina Securities/Commodities/Exchanges Cases filed in the District of ... US Securities and Exchange Commission v. ... Defendant: Richard W Davis, Jr.

June 14, 2011 - PCAOB

pcaobus.org/Enforcement/Adjudicated/Documents/Davis_SEC_3-14370.pdf

Edwin R. Davis, Jr. and Davis Accounting Group, p.C.,l a registered public ... Securities Exchange Act ReI. No. 63167 (Oct. 22, 2010), 99 SEC Docket 33752.

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Complaint: SEC v. Peter J. Davis, Jr., John M. Youngdahl, and ...

www.sec.gov

Sep 4, 2003 ... Plaintiff, the United States Securities and Exchange Commission (the " Commission"), as and for its Complaint, alleges: SUMMARY. 1. On the ...

Richard W. Davis Jr. - Securities and Exchange Commission

www.sec.gov

Jun 15, 2016 ... The Securities and Exchange Commission (“Commission”) deems it ... proceedings and the findings contained in Section III.2., below, which are ... thereunder, in the civil action entitled Securities and Exchange Commission v.

SEC.gov | Litigation Releases

www.sec.gov

litigation releases concerning civil lawsuits brought by the Commission in federal ... 10, 2016, Edwin Ruh Jr. and Pan Asia China Commerce Corp. Inc. .... 2, 2016, Richard W. Davis, Jr., et al. ... 1, 2016, Steven V. McClatchey and Gary J. Pusey.