Action against a company that sold investment products and its owner for allegedly selling securities without registering as a broker-dealer.  According to the SEC, Defendants sold securities in two companies which were previously charged by the SEC with offering fraud schemes—one in December 2017 and one in August 2018—without being registered as a broker-dealer with the SEC or FINRA.  Defendants have agreed to pay penalties, disgorgement, and interest in amounts to be determined by the court.

SEC Complaint

SEC Litigation Release