David P. Ortiz and DaveGlo Investment Group, Inc.
No reply on file from David P. Ortiz and DaveGlo Investment Group, Inc. on this matter.
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"Cal. filed Sept. 11, 2025) SEC Obtains Final Judgment as to Investment Adviser and his Entity in Alleged Unregistered Oil and Gas Offerings On April 27, 2026, the United States District Court for the Central District of California entered final judgments as to David P."
"Ortiz and his entity DaveGlo Investment Group, Inc., whom the SEC previously charged with selling securities in unregistered oil and gas offerings, acting as unregistered brokers, and, as to Ortiz, failing to disclose financial conflicts of interest to advisory clients."
"Ortiz and DaveGlo Investment Group, Inc. , No. 2:25-cv-08610 (C.D."
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"In addition, the final judgments ordered Ortiz and DaveGlo, jointly and severally, to pay disgorgement of $816,934 and prejudgment interest of $170,194, and ordered Ortiz to pay a $50,000 civil penalty."
"In addition, the final judgments ordered Ortiz and DaveGlo, jointly and severally, to pay disgorgement of $816,934 and prejudgment interest of $170,194, and ordered Ortiz to pay a $50,000 civil penalty."