Securities and Exchange Commission v. David Aubel and Robert Raffa, No. 16-CV-10670 (D. Mass. filed Apr. 7, 2016)
United States v. David Aubel and Robert Raffa, No. 16-cr-10125 (D. Mass. filed Apr. 6, 2016)
WASHINGTON – Jan. 31, 2019 – Two alleged market manipulators in an SEC enforcement action filed in 2016 have now been sentenced in a parallel criminal case.
The criminal charges against each stem from the same misconduct alleged in the SEC’s complaint filed on April 7, 2016, in the U.S.