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SEC settles Illegal Short Selling charges involving two Boca Raton men

In a May 11 announcement, the Securities and Exchange Commission (SEC) stated it had charged two South Florida men for engaging in the unlawful selling of securities. The SEC alleges that Boca Raton, Fla. residents Leonard J. Adams and Peter G. Grabler participated in numerous secondary offerings in order to profit illicitly. Although neither admitted nor denied the allegations, Adams and Grabler agreed to pay a combined total of over $1.5 million to settle the SEC’s charges.

Posted in The Law Planet Blog on May 13, 2010 10:06 AM

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  • May 13, 2010 10:06 AM
    SEC settles Illegal Short Selling charges involving two Boca Raton men In a May 11 announcement, the Securities and Exchange Commission (SEC) stated it had charged two South Florida men for engaging in the unlawful selling of securities. The SEC alleges that Boca Raton, Fla. residents Leonard J. Adams and Peter G. Grabler participated in numerous secondary offerings in order to profit illicitly. Although neither admitted nor denied the allegations, Adams and Grabler agreed to pay a combined total of over $1.5 million to settle the SEC’s charges.

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