WebMar 19, 2012 · Frank Mazzola et al., CV-12-1258 EDL (U.S. District Court for the Northern District of California, ... The SEC’s lawsuit charges Mazzola, Felix Investments, and Facie Libre Management Associates with violating Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5(b) thereunder. ... WebMar 10, 2014 · [PROPOSED] FINAL JUDGMENT AS TO ALL DEFENDANTS MAXINE M. CHESNEY, District Judge. The Securities and Exchange Commission having filed a Complaint and Defendants Frank Mazzola ("Mazzola"), Felix Investments, LLC ("Felix Investments"), and Facie Libre Management Associates ("FLMA") (collectively, …
Case 3:16-cv-01386 Document 1 Filed 03/22/16 Page 1 of 26
WebJan 19, 2024 · The SEC said that from 2009 to 2014, Mr. Mazzola was a registered representative of Felix Investments, which was expelled by the Financial Industry … WebMar 31, 2014 · According to the SEC, Frank Mazzola and the brokerage firm Felix Investments Inc will pay $500,000 to settle charges with the Securities and Exchange Commission. In 2012, Mazzola and Felix allegedly defrauded investors in funds created to purchase shares in technology companies, such as Facebook, prior to their initial public … rpcgen not found
SEC: Fund managers defrauded Facebook investors - CBS News
WebFeb 6, 2024 · Mazzola, from 2009 to 2014, was reportedly registered as a rep of Felix Investments, which was then subsequently banned from the securities industry by FINRA In August of 2014, the SEC reports. What is more, Mazzola also allegedly served as the manager of Saddle River Advisors (SRA), an entity which purportedly advised pooled … WebMar 14, 2012 · In the first case, the SEC has charged New York-based Felix Investments LLC, and Frank Mazzola of Felix with "improper self-dealing," that is, earning secret commissions on deals funds above the 5 ... WebJan 31, 2012 · Companies can’t hype IPOs before they happen. Neither can the underwriters. Then there is Felix Investments, a small New York investment firm. rpche20s1k