SEC Charges California Investment Adviser, His Advisory Firm With Fraud & Improper Disclosure of Client Nonpublic Personal Information
September 12, 2025
September 12, 2025
WASHINGTON, Sept. 12 -- The Securities and Exchange Commission issued the following litigation release (No. 8:25-cv-02034; C.D. Cal., filed Sept. 10, 2025):
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Securities and Exchange Commission v. Parker Terrill Austin and Embarcadero Capital Advisors, Inc., No. 8:25-cv-02034 (C.D. Cal., filed Sept. 10, 2025)
On September 10, 2025, the Securities and Exchange Commission charged California resident Parker Terrill Austin and the investment advisory firm h . . .
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Securities and Exchange Commission v. Parker Terrill Austin and Embarcadero Capital Advisors, Inc., No. 8:25-cv-02034 (C.D. Cal., filed Sept. 10, 2025)
On September 10, 2025, the Securities and Exchange Commission charged California resident Parker Terrill Austin and the investment advisory firm h . . .