The SEC’s complaint charges 1 Global and Ruderman with violations of the antifraud, securities registration, and broker-dealer registration provisions of the federal securities laws. The SEC seeks disgorgement of allegedly ill-gotten gains and prejudgment interest from the defendants and relief defendants, and financial penalties against the defendants.
The SEC’s continuing investigation is being conducted by Gary Miller and Mark Dee in the Miami Regional Office and supervised by Elisha L. Frank and Fernando Torres. The SEC’s litigation is being led by Christopher Martin and Robert K. Levenson. The SEC appreciates the assistance of the U.S. Attorney’s Office for the Southern District of Florida, the Federal Bureau of Investigation, the Florida Office of Financial Regulation, and the Colorado Division of Securities.
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