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https://markfeathers.com/
SEC never informed me of this, and I had no opportunity to rebut false information that she presented to SEC during that period (you can validate this information if you like by researching court filings from 2010 - 2011 against SB Capital, or against Mark Feathers).
https://www.sec.gov/litigation/complaints/2012/comp-pr2012-125.pdf
Mark Feathers, age 48, resides in Los Altos, California. He is the founder, CEO and a director of SB Capital. Through SB Capital, Feathers is the controlling person of IPF and SPF. Feathers is not registered with the Commission in any capacity and has never had a 3. COMPLAINT CASE NO. -----
https://www.sec.gov/litigation/litreleases/2018/lr24128.htm
The criminal charges against Feathers arise from the same conduct alleged in an action brought by the Securities and Exchange Commission in June 2012. The SEC's complaint alleged that more than 400 investors were attracted to the funds by promises that profits from mortgage investments would yield annual returns of 7.5 percent or more.
https://law.justia.com/cases/federal/district-courts/california/candce/5:2015cv02194/287563/47/
Mark Feathers v. United States of America, No. 5:2015cv02194 - Document 47 (N.D. Cal. 2015) case opinion from the Northern District of California U.S. Federal District Court. ... In his initial complaint, Feathers argued that the SEC’s accountant had “deliberately, 6 fraudulently, and incorrectly” miscalculated certain numbers to support ...
https://www.drinkerbiddle.com/insights/publications/2012/07/financial-fraud-alert
This complaint stems from a “Ponzi-like scheme” allegedly perpetrated by Mark Feathers and three entities he controls: Small Business Capital Corp. (“SB Capital”), and two mortgage investment funds managed by SB Capital and Feathers, Investors Prime Fund, LLC (“IPF”) and SBC Portfolio Fund, LLC (“SPF”) (IPF and SPF are collectively referred to in the complaint as the “Funds”).
http://sbcapitalreceiver.com/frequentlyaskedquestions.html
In this case, the SEC is the plaintiff, and Small Business Capital Corp., Mark Feathers, Investors Prime Fund, LLC, and SBC Portfolio Fund, LLC are defendants. The SEC has alleged that the defendants have engaged in acts, practices and courses of business that violate federal securities laws.
https://colemanreport.com/anti-fraud-friday-mark-feathers-responds-to-sec-receivers-intent-to-sell-sblc-license/
Oct 25, 2013 · We received this email from Mark after we ran the story the SEC Receiver will develop the procedures to sell the Small Business Capital nationwide SBA 7(a) license – one of 14 such licenses in existence. Here is the email from Mark Feathers to the Coleman Report: “The court appointed receiver, Thomas Seaman, in the lawsuit SEC v.
http://sbcapitalreceiver.com/
This website has been established to facilitate efficient communications between investors, creditors, former employees, and other interested parties of Small Business Capital Corporation, Investors Prime Fund, LLC, and SBC Portfolio Fund, LLC, all of its subsidiaries and affiliates; and Thomas Seaman who is serving as their Receiver.
http://colemanreport.com/wp-content/uploads/2013/10/Appeal-Narrative.pdf
This lawsuit represents unbridled fraud and bad faith actions of the SEC, abuse of power, and jurisdictional ... and jurisdictional issues. The defendants in this SEC complaint were specialty mortgage funds engaged in commercial real estate secured ... and its founder and controlling shareholder, Mark Feathers. The defendants, at the time of ...
https://www.leagle.com/decision/infdco20170720785
Jul 19, 2017 · On or about February 27, 2006, Plaintiff Mark Feathers ("Plaintiff") and non-party Natalie Feathers executed a Deed of Trust secured by a promissory note for $1.875 million dollars in favor of Wells Fargo Bank, N.A. in order to purchase certain real property located in Los Altos, California.
https://www.courthousenews.com/sec-freezes-alleged-42-million-ponzi-scam/
Jun 29, 2012 · SAN JOSE (CN) – The SEC said it obtained an emergency court order to stop a $42 million Ponzi scheme that 48-year-old Los Altos resident Mark Feathers ran through his companies Small Business Capital Corp., Investors Prime Fund and SBC Portfolio Fund.
https://www.bizjournals.com/sanjose/news/2012/06/28/42m-ponzi-like-scheme-shut-down-in.html
Jun 28, 2012 · The SEC said on Thursday it obtained an emergency court order to halt the alleged fraud. The agency filed a complaint last week in U.S. District Court in …Author: Eli Segall
https://hedgefundlawblog.com/sec-action-against-manager-for-related-party-transactions.html
On June 21, 2012, the SEC filed in action in the US District Court for the Northern District of California against Mark Feathers (“Feathers”) and Small Business Capital Corp. (“SB Capital”), Investors Prime Fund (“IPF”), and SBC Portfolio Fund (“SPF”).
https://www.losaltosonline.com/news/sections/news/41926-J43472
Jul 04, 2012 · The SEC’s complaint claims that by misrepresenting and omitting how he was moving money, and by claiming to generate profits that didn’t exist, Feathers committed fraud. The SEC also claims that he should have registered as a broker-dealer with the commission before attempting to sell securities. In 2011, the California Department of Real ...
https://theponzibook.blogspot.com/2017/03/march-2017-ponzi-scheme-roundup.html
Mar 03, 2017 · March 2017 Ponzi Scheme Roundup Posted by Kathy Bazoian Phelps. ... Mark Feathers, ... The SEC complaint also names Glick Accounting Services, Glick’s business partner David B. Slagter, and Edward H. Forte as relief defendants, seeking to recover more than $1.5 million paid to them.
https://www.cfp.net/ethics/enforcement/public-disciplinary-actions-by-state
CFP Board's public disciplinary action can take one of three forms — a public Letter of Admonition, a temporary suspension of the individual's CFP® certification or a permanent revocation of the individual's CFP® certification — depending on the severity of the breach, any mitigating or aggravating circumstances, and the individual's cooperation with the Board's investigation.
http://www.rrbdlaw.com/3957/securities-industry-commentator/
On August 16, 2013, the SEC obtained summary judgment against Feathers and on November 6, 2013, the court entered a final judgment against Feathers, permanently enjoining him from 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 thereunder, and ordered him to pay ...
https://www.lexology.com/library/detail.aspx?g=f6a7ce6a-bac1-49ff-9663-9ce67d1b348a
Jul 24, 2012 · This complaint stems from a “Ponzi-like scheme” allegedly perpetrated by Mark Feathers and three entities he controls: Small Business Capital Corp. (“SB Capital”), and two mortgage ...
https://www.losaltosonline.com/news/sections/news/42037-J43583
Jul 18, 2012 · When the SEC filed a complaint June 21 against SB Capital and founder Mark Feathers, it alleged that the company misled investors in a “Ponzi-like” manner and improperly transferred investor money to generate false profits.
http://losangelessecuritiesfraudattorney.com/index.php/2017/12/15/sec-says-adviser-jay-kelter-conned-1-4m-from-retiree/
Dec 15, 2017 · The U.S. Securities and Exchange Commission (SEC) and federal prosecutors allege that former investment adviser Jay Costa Kelter defrauded a retiree out of about $1.4 million. The complaint says he used the money to pay off other clients and family and to buy a Bentley.
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