SEC
Whistleblower
Attorneys

September 10, 2019

Strategic Capital Management, LLC, Michael J. Breton

Trading and Pricing

SANCTION AMOUNT: $1326696

Defendants: Strategic Capital Management, LLC
Michael J. Breton

Investment adviser, through his firm, engaged in a cherry-picking scheme by placing trades through a master brokerage account and then allocating profitable trades to the firm and unprofitable trades to client accounts. The investment adviser was also criminally convicted.

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