Wednesday, April 9, 2014
SEC Settles Fictitious Offering Case l Securities Lawyer 101
Without admitting or denying the allegations of the complaint, Baldassari consented to the entry of a final judgment that orders that she is liable for
disgorgement of $24,500, and that such amount shall be deemed satisfied from funds she deposited into the court’s account.
Also on March 4, 2014, at the Commission’s request, the court dismissed relief defendant Brett A. Cooper from the action. Cooper is now a principal defendant in a separate enforcement action the Commission filed alleging that he and several of his companies perpetrated fraudulent investment schemes from 2008 to 2012.
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