SEC v. Wilson J. Rondini, III and Falcon Capital Partners Limited

Wilson J. Rondini, III and Falcon Capital Partners Limited allegedly acted as unregistered broker-dealers. According to the amended complaint, from at least 2018 through the end of 2022, Rondini, Falcon Capital Partners Limited, and Falcon Capital LLP acted as brokers and dealers, engaged in the business of both effecting transactions in securities for the accounts of others and buying and selling securities for their own accounts. According to the amended complaint, at no time during the relevant period did Rondini, Falcon Capital Partners Limited, or Falcon Capital LLP register as a broker-dealer with the Commission or associate with a broker-dealer registered with the Commission, as required by the federal securities laws.

Summary generated from official Securities and Exchange Commission press release