Landmark Lawsuit Filed Against SEC to Protect Future Whistleblowers

November 24, 2020

Craig C. Rumbaugh, Rumbaugh Financial Inc., Desert Strategic Equity

Trading and Pricing


Defendants: Rumbaugh Financial Inc., Desert Strategic Equity
Craig C. Rumbaugh

This sanction resulted from a judgment on consent entered against a California-based investment advisor and his companies. Defendants allegedly recommended that clients invest in promissory notes offered by Susan Werth, misleading them about the terms and concealing self-dealing and receipt of commissions. Werth’s offering was ultimately found to be a Ponzi scheme.

Named one of the top whistleblower practices/attorneys in the country by The New York Times, Wall Street Journal and NPR
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