Litigation: SEC Obtains Final Judgment Against Ex-Broker Engaged in Fraud
April 30, 2024
April 30, 2024
WASHINGTON, April 30 -- The Securities and Exchange Commission issued the following litigation release (No. 22-cv-01360; D.N.J. filed March 14, 2022) involving Mario E. Rivero:
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On April 26, 2024, the U.S. District Court for New Jersey entered a final judgment against Mario E. Rivero, a former registered representative at a broker-dealer, who misappropriated more than $480,000 from his advisory clients and brokerage customers.
According to the SEC' . . .
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On April 26, 2024, the U.S. District Court for New Jersey entered a final judgment against Mario E. Rivero, a former registered representative at a broker-dealer, who misappropriated more than $480,000 from his advisory clients and brokerage customers.
According to the SEC' . . .