Red Flags Galore: The SEC Sues Roger Bliss of Bountiful, Utah for Fraud

Posted by & filed under .

There is a relatively new SEC case that definitely needs to be added to my growing list of Utah affinity fraud schemes.  On February 11, 2015, the Salt Lake City office of the U.S. Securities and Exchange Commission filed a lawsuit and obtained a temporary restraining order against Roger S. Bliss of Bountiful Utah. This case has all… Read more »

How an Employment Agreement Can Get you In Hot Water With the SEC

Posted by & filed under .

I don’t usually give employment advice, but the SEC this week announced a settlement with KBR, Inc. that should prompt every company to check its employee agreements. Even fairly innocuous confidentiality language that might seem unobjectionable to some could lead to an SEC enforcement action under the SEC’s interpretation of the Dodd-Frank Wall Street Reform… Read more »

American Pension Services Lawsuit

Posted by & filed under .

On April 30, 2014 the Securities and Exchange Commission filed a lawsuit against a Utah-based company called American Pension Services, Inc. (“APS”) and alleged that the retirement plan administrator defrauded investors. This is not a Ponzi Scheme case (unlike many the SEC files in Utah) it is really about forgery and theft. And it was… Read more »