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SEC Prosecutions

SEC Prosecutions

Settlement of Fraud Charges for Sale of Unregistered Securities of Eurobond Exchange Ltd.

SEC v. Robert Johnson and Fiduciary Planning, Inc.; In the Matter of Robert Johnson, Respondent

  • 1995
  • $96,310

The SEC’s complaint alleged that, from at least June 1989 through December 1989, defendants misrepresented and omitted material facts in connection with their offer and sale of unregistered securities, in the form of U.S. and foreign government bonds or investment contracts, issued by Eurobond Exchange Ltd. Defendants settled the civil action, and administrative proceedings were also brought against Johnson, in which he was barred.

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