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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 advise ....

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