July 29, 2024

U.S. Securities and Exchange Commission v. Moretz

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Case Number:

5:24-cv-00171

Court:

North Carolina Western

Nature of Suit:

Securities/Commodities

Judge:

Kenneth D. Bell

Government Agencies

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Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.

Coverage

  1. July 30, 2024

    SEC Sues NC Investment Adviser Over Bogus Guarantees

    A North Carolina investment adviser lied to clients about the safety of their investments when he sold them on risky corporate bonds issued by a financial services company that went bankrupt, the U.S. Securities and Exchange Commission said in a newly filed complaint.

Parties

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