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SEC gov | SEC Charges California-Based Fraudster With Selling Insider Tips on the Dark Web
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MIL-OSI USA: SEC Charges California-Based Fraudster With Selling Insider Tips on the Dark Web
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SEC Charges California-Based Fraudster With Selling Insider Tips On The Dark Web
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Litigation Release No. 25051 / March 12, 2021
Securities and Exchange Commission v. Paul W. Haarman, Patrick E. Duke, and APEG Energy GP, LLC, No. 1:21-cv-235-LY (W.D. Tex. filed March 11, 2021)
On March 11, 2021, the Securities and Exchange Commission charged Texas-based investment adviser APEG Energy, GP (APEG) and its owners, Patrick E. Duke and Paul W. Haarman, with fraudulently raising more than $17 million for an oil-and-gas investment fund they managed, and Duke and Haarman with misappropriating over $2.6 million from the fund.
According to the SEC s complaint, from approximately December 2015 to October 2016, Duke and Haarman engaged in a fraudulent scheme involving the sale of limited partnership interests in the fund. The complaint alleges that the defendants made numerous false and misleading statements to investors about the risks of investing in the fund, Duke and Haarman s compensation for managing the fund, and their expertise in the oil and gas industry. As alleg
Lit. Release No. 24991 / December 21, 2020
Securities and Exchange Commission v. Dike Boone Nerren, 4:20-cv-00965 (E.D. Tex. filed December 21, 2020)
The Securities and Exchange Commission today charged Texas-based real estate developer Dike Boone Nerren with fraud in connection with two securities offerings he used to fund a real estate project in McKinney, Texas.
According to the SEC s complaint, between 2015 and 2017 Nerren raised approximately $1.4 million through Sapient Fund II, LLC and Vintage Place Fund, LP. The complaint alleges that Nerren diverted $450,000 of those funds to an unrelated real estate project he was developing, without disclosure to investors and in contravention of the disclosures in the offering materials. According to the complaint, although Nerren began repaying the diverted funds, the project experienced financial difficulties and Nerren was unable to pay the project s bills because of the diversion of funds. As alleged, the McKinney project was ul