A New York woman and her now-dissolved Florida companies agreed to pay the SEC about $790,000 in disgorgement, interest, and a civil penalty to resolve allegations she misled investors about her stock trading strategy and expertise.
Carole Liston is liable, together with her companies, for about $420,000 in disgorgement, plus close to $134,000 in prejudgment interest, according to the Securities and Exchange Commission’s May 15 filing in the US District Court for the Southern District of Florida. Liston additionally agreed to pay a $236,451 civil penalty.
- The SEC alleged Liston and her companies—Stock Purse Trading LLC and Liston Associates Inc.—raised ...
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