SEC Settles Fictitious Offering Case Against Mia Baldassari

Securities Lawyer 101 Blog

The Securities and Exchange Commission (SEC) announced that on March 4, 2014, Judge Rosemary Collyer entered a final judgment against relief defendant Mia Baldassari. The SEC’s complaint alleged that Baldassari received $24,500 in investor funds to which she had no lawful claim.

Without admitting or denying the allegations of the complaint, Mia 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 SEC’s request, the court dismissed relief defendant Brett Cooper from the action. Cooper is now a principal defendant in a separate enforcement action the SEC filed alleging that he and several of his companies perpetrated fraudulent investment schemes from 2008 to 2012.

For further information about this securities law blog post, please contact Brenda Hamilton, Securities Attorney at 101 Plaza Real S, Suite 202 N, Boca Raton, Florida, (561) 416-8956, by email at [email protected] or visit  www.securitieslawyer101.com.   This securities law blog post is provided as a general informational service to clients and friends of Hamilton & Associates Law Group and should not be construed as, and does not constitute, legal and compliance advice on any specific matter, nor does this message create an attorney-client relationship. Please note that the prior results discussed herein do not guarantee similar outcomes.

Hamilton & Associates | Securities Lawyers
Brenda Hamilton, Securities Attorney
101 Plaza Real South, Suite 202 North
Boca Raton, Florida 33432
Telephone: (561) 416-8956
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www.SecuritiesLawyer101.com