SEC sues Knightsbridge Entertainment/owner for sale 62 Mil in notes to fund film post production, majority of funds used personally. Defendants settle by consent decree for 8.9 Mil disgorgement, 1 mil interest, 192,000 penalty, permanent injunction. Always use Seasoned SEC ATTY
Investment Adviser settles SEC case, disgorges $300,000 + pays $1,355,000 penalty, for no failure of policies to safe guard client assets. Always consult Seasoned Securities Legal Counsel, Don Davis, Davis & Associates, SEC and Capital Raise Lawyers.