This content is restricted.
Brief
The Securities and Exchange Commission (SEC) obtained a final judgment against James D. Burleson, managing partner of Burleson & Company, LLC, for engaging in a "cherry-picking" scheme from August 2020 to October 2022. The scheme involved disproportionately allocating profitable trades to his personal account and unprofitable trades to clients' accounts. The SEC permanently enjoined Burleson from violating securities laws and obtained $1,837,700 in disgorgement, $216,590 in prejudgment interest, and a $230,464 civil penalty.
Highlights content goes here...
This content is restricted.
RADA.AI
Hello! I'm RADA.AI - Regulatory Analysis and Decision Assistance. Your Intelligent guide for compliance and decision-making. How can i assist you today?
Suggested
