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Dec 23, 2009 · The Commission also charges salesmen W. Todd Smith, Stuart E. Rawitt, and Brian W. Walsh, with violating Sections 5(a) and 5(c) of the Securities Act, and Section 15(a) of the Exchange Act, based on their roles in selling unregistered Rockwell securities and selling securities without a license.
- Stuart E. Rawitt
Procedural Background. On January 23, 2015, the Securities...
- Stuart E. Rawitt
Procedural Background. On January 23, 2015, the Securities and Exchange Commission (Commission) issued an Order Instituting Administrative Proceedings (OIP) against Rawitt, pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act).
Division's Motion for Imposition of Remedial Sanctions Against Respondent Stuart E. Rawitt. 3-16357-event-12.pdf (440.42 KB) SOCIAL MEDIA
Nov 17, 2014 · Samuel Braslau, Rand J. Chortkoff, and Stuart E. Rawitt fraudulently offered and sold securities to investors who were told their money would finance a multi-million dollar movie starring A-list celebrities that was "sure" to generate significant returns.
Jun 22, 2015 · Stuart Rawitt, 47, of West Hollywood, a salesperson, who was arrested this morning; Robert Matias, 50, of Granada Hills, a salesperson who is a fugitive. The three arrested this morning are expected to be arraigned this afternoon in United States District Court in Los Angeles.
The SEC alleges that Rawitt made roughly $275,000 in sales-related fees through direct solicitations to potential investors. (Id. ¶ 15, 51). Rawitt was not licensed to sell securities, nor was he associated with a registered broker or dealer. (Id. ¶¶ 15, 48.)
Court Description: ORDER GRANTING PLAINTIFFS MOTION FOR DEFAULT JUDGMENT AGAINST DEFENDANT STUART E. RAWITT 36 by Judge Otis D. Wright, II: Rawitt be permanently enjoined from future violations of: (i) Section 17(a) of the Securities Act; (ii) Section 10(b) of the Ex change Act and Rule 10b-5; (iii) Section 15(a)(1) of the Securities Exchange ...
