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Shawn C Cutting (Release No LR-25046; Mar 11, 2021)
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Litigation Release No. 25036 / February 24, 2021
Securities and Exchange Commission v. Glen A. Stewart, No. 1:21-cv-00550 (D. Colo. filed February 24, 2021)
The Securities and Exchange Commission today announced charges against Glen A. Stewart, CEO of Colorado-based Wiser Investments, Inc., for acting as an unregistered broker and illegally selling Wiser securities in unregistered transactions to retail investors.
According to the SEC s complaint, from at least August 2017 through October 2019, Stewart raised approximately $558,867 through the offer and sale of convertible notes and stock issued by Wiser Investments and its successor entity Wiser Investments, Inc. to approximately 39 investors who he identified through his tax advisory company. In connection with these sales, Stewart allegedly received $45,853.50 in transaction-based compensation. In offering and selling the securities, Stewart allegedly, conducted sales meetings with prospective investors and advised them on th
FOR IMMEDIATE RELEASE Washington D.C., Feb. 24, 2021
The Securities and Exchange Commission today announced settled charges against an Oklahoma-based gas exploration and production company, Gulfport Energy Corporation, and its former CEO, Michael G. Moore, for failing to properly disclose as compensation certain perks provided to Moore, as well as failing to disclose certain related person transactions.
The SEC s separate orders against Gulfport and Moore find that, from 2014 to 2018, Gulfport failed to disclose approximately $650,000 in executive compensation in the form of perquisites received by Moore, and also failed to disclose certain related person transactions involving Moore. According to the orders, the undisclosed perquisites included the cost of Moore’s use of Gulfport s chartered aircraft for certain travel. The undisclosed perquisites also included costs associated with Moore s use of a Gulfport corporate credit card for personal expenses that
Litigation Release No. 24992 / December 21, 2020
Securities and Exchange Commission v. CapSource, Inc. et al., No. 2:20-cv-02303 (D. Nev. filed December 21, 2020)
Securities and Exchange Commission v. Michael B. Zipprich et al., No. 2:20-cv-02308 (D. Nev. filed December 21, 2020)
The Securities and Exchange Commission today charged Las Vegas-based hard money lender CapSource, Inc., its principals, Stephen J. Byrne and Gregory P. Herlean, Arizona-based real estate developer Michael B. Zipprich, and several entities Zipprich controlled for fraud and registration violations in connection with multiple, related securities offerings.
According to the SEC s complaints, from approximately January 2015 through May 2019, CapSource, Byrne, and Herlean, acting as unregistered brokers, offered and sold over $151 million of securities in unregistered offerings to finance various real estate projects, including $28 million for entities related to Zipprich s drug rehabilitation business, Ameri
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