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Re: splintered sunlight post# 30908

Tuesday, 09/13/2022 4:59:57 PM

Tuesday, September 13, 2022 4:59:57 PM

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SEC Charges South Florida Venture Capital Firm and Others with Acting as Unregistered Brokers and Selling $3 Million in Securities to Investors

Litigation Release No. 25504 / September 13, 2022

Securities and Exchange Commission v. TBG Holdings Corporation, Neil B. Swartz, and Timothy S. Hart, No. 0:22-CV-61689 (S.D. Fla. filed September 9, 2022)

Securities and Exchange Commission v. Frank S. Dickerson, No. 9:22-cv-81404 (S.D. Fla. filed September 9, 2022)

The Securities and Exchange Commission today announced charges against TBG Holdings Corporation ("TBG"), its principals Neil B. Swartz and Timothy S. Hart, and sales agents Ted L. Romeo, Vincent J. Caputo, and Frank S. Dickerson alleging registration violations for unlawfully selling shares of health management company MediXall Group, Inc. ("MediXall") to investors...

https://www.sec.gov/litigation/litreleases/2022/lr25504.htm
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