sec whistleblower attorneys
September 19, 2019
Brian Robert Sodi, Capital Financial Media LLC, List Data Solutions LLC
Market Manipulation
SANCTION AMOUNT: $1268000
Defendants: Capital Financial Media LLC, List Data Solutions LLC
Brian Robert Sodi
Defendants, a CPA and two companies he owned/controlled before they went defunct, engaged in scalping and pump-and-dump schemes involving two penny stocks . Sodi secretly acquired the shares and then sold while using his companies to disseminate statements urging investors to buy, without disclosing his sales or plans to sell them.
- Key Docs
- Official SEC press release
