DD Support Board and Research Team

[scion]

15. Lawrence D. Isen, age 63, is a resident of San Diego, California.

From approximately 1987 to 1995, Isen was associated with three different broker-dealers as a registered representative, including one with Gleckman. During that time, Isen held Series 7, 24, and 63 licenses. On May 18, 1995, the Commission barred Isen from associating with any broker or dealer for violations of the antifraud provisions of the Federal securities laws, and on November 16, 2000, Isen was convicted by a jury in the United States District Court for the Southern District of New York of conspiracy to commit securities fraud and wire fraud.

On December 19, 2001, Isen was sanctioned by the Commission for violations of Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder based on the conduct underlying his criminal conviction. On December 20, 2007, Isen was sanctioned by the Commission and permanently enjoined from violating Sections 5(a), 5(c), 17(a)(2), and 17(a)(3) of the Securities Act in SEC v. Isen, No. 07-CV-11386 (S.D.N.Y. Dec. 19, 2007).

Isen is an orchestrator of at least two of the pump-and-dump schemes alleged in this Complaint.

https://www.sec.gov/litigation/complaints/2017/comp23878.pdf