ข่าวสาร / stocks

SEC Files Settled Charges Against Three StraightPath Sales Agents for Unregistered Broker Activity

The Securities and Exchange Commission today announced settled charges against three sales agents from StraightPath Venture Partners—Anthony Guarino, Robert Seropian, and Frank…

คลังข้อมูล · 2024-09-12

ข้อความบางส่วนจากแหล่งข้อมูลในอดีตเพื่อการศึกษา ตัวเลข กฎระเบียบ และสถานะของคดีอาจเปลี่ยนแปลงหลังการเผยแพร่ครั้งแรก

Read original source

The Securities and Exchange Commission today announced settled charges against three sales agents from StraightPath Venture Partners—Anthony Guarino, Robert Seropian, and Frank Vecchio—for unregistered broker activity, including selling membership interests in LLCs that purported to invest in shares of pre-IPO companies. Vecchio also settled the SEC’s previously announced fraud charges against him. According to the SEC's orders against Guarino and Seropian and the previously filed complaint against Vecchio, each of them allegedly provided investors with marketing materials, advised investors on the supposed merits of the investments, and received transaction-based compensation, all hallmarks of a broker, despite not being registered as brokers.

Research sources & methodology

Original sources and publication references.

ชุมชน

Tell us what you are researching. We will review your request.