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Author Topic: Robert A. Loffredi, et al  (Read 2498 times)

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Robert A. Loffredi, et al
« on: October 23, 2007, 03:01:07 PM »
Robert A. Loffredi, et al
     


The Securities and Exchange Commission announced that on October 19, 2007, the Honorable Suzanne B. Conlon of the United Stated District Court for the Northern District of Illinois, Eastern Division issued a Temporary Restraining Order and Asset Freeze against Robert A. Loffredi (Loffredi) and Raymond Financial Group, Inc. (Raymond Financial). The Order, among other things, temporarily enjoined Loffredi and Raymond Financial from violating Section 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder and froze their assets. The Court also entered an agreed order freezing the assets of Advanced Sales and Marketing Corporation (Advanced Sales), a company owned by Loffredi's wife.
     

http://www.sec.gov/litigation/litreleases/2007/lr20343.htm
     
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