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


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


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


Jun 15, 2016 ... The Securities and Exchange Commission (“Commission”) deems it ... in the civil action entitled Securities and Exchange Commission v.

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


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 ...

June 17, 2016 — SEC Charges Investment Adviser with Fraud for ...


Jun 17, 2016 ... ... Exchange Commission (“SEC”) charged Richard W. Davis Jr. (“Davis”), a North ... The SEC's Complaint alleged the following causes of action: fraud in ... SEC Files Complaint for Injunctive and Other Relief Against Craig V.

SEC v. Graham - U.S. Courts


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

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


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 ...

SEC Drops Market Timing Suit Against Gabelli Funds Exec - Law360


Jul 3, 2014 ... The U.S. Securities and Exchange Commission on Thursday announced that it ... Christopher R. Conte, Charles C. Davis Jr., Jill S. Henderson, Mark Kreitman, Kevin P. ... The case is Securities and Exchange Commission v.

Ex-Dewey Chair Davis Barred From Practicing Before SEC - Law360


Mar 9, 2016 ... The U.S. Securities and Exchange Commission has suspended former ... That trial, which was prosecuted by the office of Manhattan District Attorney Cy Vance Jr., ... The civil case is Securities and Exchange Commission v.

Fraud, But Is It Securities Fraud? | Compliance Building


Jun 6, 2016 ... When I see a real estate case filed by the SEC I pay attention. The case against Richard W. Davis, Jr. brought the “What is a Security?

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


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

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


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.

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


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.