Companies Mentioned

James Asset Advisory, LLC

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Summaries
Securities Law >
New Settlements and Verdicts

Fl Court Enters $3.15M Judgment Against James in Ponzi Scheme Suit
On September 24, 2008, the SEC filed a civil injunctive action against James and James Asset for misappropriating client funds and operating a Ponzi scheme. The SEC’s complaint alleged that from at least April 2001 through January 2008, defendants received at least $5.2 million from at least 44 clients who…
Date of ruling:
03/23/2009