SEC Settles With Company, Its Managing Member Alleged to Have Acted as Unregistered Dealers
January 16, 2025
January 16, 2025
WASHINGTON, Jan. 16 -- The Securities and Exchange Commission issued the following litigation release (No. 22-cv-8142; S.D.N.Y. filed Sept. 23, 2022) involving Morningview Financial LLC, Miles M. Riccio and Joseph M. Riccio Jr.:
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On December 23, 2024, the United States District Court for the Southern District of New York entered final judgments on consent against Defendant Morningview Financial, LLC, a company alleged to have acted as an unregistered dealer; Defend . . .
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On December 23, 2024, the United States District Court for the Southern District of New York entered final judgments on consent against Defendant Morningview Financial, LLC, a company alleged to have acted as an unregistered dealer; Defend . . .