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CashBowski

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CashBowski

Re: None

Wednesday, 07/05/2023 10:38:46 AM

Wednesday, July 05, 2023 10:38:46 AM

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On June 1, 2023, the Securities and Exchange Commission (the “SEC”) announced charges against Auctus Fund Management, LLC (“Auctus Management”) and its co-owners Alfred Sollami of Brookline, Massachusetts and Louis Posner of Mansfield, Massachusetts, for failing to register as securities dealers with the SEC.

https://www.securitieslawyer101.com/2023/sec-charges-auctus-fund-management-llc-and-its-co-owners-louis-posner-and-alfred-sollami-with-acting-as-unregistered-securities-dealers/

Brenda identified more than 200 issuers that did deals with the Auctus family of companies between 2008 – 2020 (see link for full list). Majority (latter 148) occurred from 2016 – 2021, after Posner and Sollami were no longer registered brokers with FINRA.

.......CB

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