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34-75837.pdf
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🔗 Source: sec.gov
📊 Size: 429 KB
👤 Author: U.S. Securities and Exchange Commission
⬇️ Downloads: 111

Summary

The SEC found that Raymond J. Lucia Companies, Inc. and its owner, Raymond J. Lucia, Sr., committed securities fraud by making material misrepresentations to prospective clients about their "Buckets of Money" retirement wealth management strategy, and ordered them to cease and desist from further violations, revoked their investment adviser registrations, and imposed civil penalties of $250,000 and $50,000, respectively.

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Description

The SEC found that Raymond J. Lucia Companies, Inc. and its owner, Raymond J.

Technical Information

  • File Format: PDF
  • File Size: 429 KB
  • Pages: 43
  • Language: EN
  • Author: U.S. Securities and Exchange Commission
  • Total Downloads: 111
  • Last Updated: 6 days ago

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