Web Results

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.

Richard W. Davis Jr. - Securities and Exchange Commission

www.sec.gov/litigation/admin/2016/ia-4423.pdf

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/litreleases.shtml

SEC Litigation Releases RSS Feed ... 1, 2016, Donald V. Watkins Sr., Esq., Watkins Pencor, LLC and Masada Resource .... 2, 2016, Richard W. Davis, Jr., et al.

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.

US Securities and Exchange Commission v. Davis et al - Justia

docs.justia.com/cases/federal/district-courts/north-carolina/ncwdce/3:2016cv00285/83287/4

Jun 2, 2016 ... Filing 4. JUDGMENT AS TO DEFENDANT RICHARD W. DAVIS, JR. - The Defendant shall comply with the directions as set forth in this Order.

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 ...

finding the line between criminal and civil securites ... - SEC Actions

www.secactions.com/finding-the-line-between-criminal-and-civil-securites-fraud/

Jan 27, 2010 ... SEC v. Davis, Case No. 03-CV6672 (S.D.N.Y. Filed Sept. 4, 2003). That case was brought against: Peter Davis, Jr., who provided advice to ...

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 ...

SEC v. Graham - U.S. Courts

media.ca11.uscourts.gov/opinions/pub/files/201413562.pdf

May 26, 2016 ... The Securities and Exchange Commission (the “SEC” or ... J. Graham, Fred Davis Clark, Jr., Cristal R. Coleman, David W. Schwarz, and.

More Info

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 ...

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

www.sec.gov

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

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