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SEC Bars Another Advisor in 1 Global Securities Scam

The 1 Global Capital fraud scheme raised more than $320 million from more than 3,600 investors throughout the country, according to the commission. ....

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SEC charges CCO over illegal security sales practices

By Jaclyn Jaeger2020-12-15T19:24:00+00:00
A chief compliance officer is one of three individuals on the receiving end of charges by the Securities and Exchange Commission for illegally selling securities in unregistered transactions to retail investors while acting as an unregistered broker.
Matthew Walker is the managing partner and chief compliance officer of Pinnacle Plus Wealth Management, a limited liability company doing business as a state-registered investment adviser in Colorado, Kansas, and Missouri. According to the SEC, from June 2017 through June 2018, Walker acted as an unregistered broker on behalf of 1 Global Capital, a merchant cash advance company.
The SEC’s complaint filed Monday alleges Walker touted 1 Global’s securities to prospective investors as a “safe and secure alternative to the stock market.” Walker also repeated 1 Global’s “false assertions” that its notes weren’t securities, “despite being confronted with several red fl ....

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