Anson Funds – SEC Accuses and Penalizes Them

October 23, 2023

2040

Anson Funds – SEC Accuses and Penalizes Them

Many were celebrating on Bay Street last week following the October 19^th SEC announcement that they would be fining Anson Funds for violating securities laws.

Anson was quick to attempt to deflect the severity of the SEC fine with their mouth-piece at OPM Wire suggesting this was merely a misunderstanding on Ansons’ part and no one should be concerned.

However, that deflection ignores what is only the beginning—the opening salvo—of the SEC/DOJ investigation into Anson Funds.

It should also be noted that this whole matter was a rules violation and was dealt with by the SEC office in Fort Worth. The larger investigation is taking place in the Southern District of New York and the LA office, where more serious financial crimes are investigated.

So no this isn’t it from the regulators. It isn’t a slap on the wrist so Moez can go about his usual business. There is much more to come!

Even Anson’s usual mouth-piece at OPM Wire conceded as much in the title of his mailout: “Anson Advisors SEC first skirmish”. Indicating there are further troubles down the road.

For those of you who haven’t read the release, you can find it here: https://www.sec.gov/files/litigation/admin/2023/34-98775.pdf?utm_medium=email&utm_source=govdelivery

In the above the SEC found that Anson breached Rule 105 Regulation M in 2019, 2020, and 2021. This is not an accident or a misunderstanding as they would have you believe but a deliberate and willful breaking of securities rules.

Ansons’ PR machine will now be going into overdrive so we can expect a number of articles on Moez philanthropy and positive reports on Anson’s performance figures (which are not true – more on this in 2 weeks time)

We have a number of other important posts coming over the following weeks, so please stay tuned.

To catch up on where we are you can find the whole saga on Anson Funds below:

Moez Kassam and Anson Funds: A Tale of Corruption, Greed, and Failure
https://marketfrauds.to/moez-kassam-and-anson-funds-a-tale-of-corruption-greed-and-failure/

Moez Kassam & Anson Funds Part II: Rotten To The Core
https://marketfrauds.to/moez-kassam-anson-funds-part-ii-rotten-to-the-core/

Intelligence Briefing: Anson Funds Active Cyber Crime
https://marketfrauds.to/intelligence-briefing-anson-funds-active-cyber-crime/

DoJ Targets Anson Funds for Illegal Short-Selling, Fraud and Insider Trading
https://marketfrauds.to/doj-targets-anson-funds-for-illegal-short-selling-fraud-and-insider-trading/

Lawsuits against Anson Funds
https://marketfrauds.to/lawsuits-against-anson-funds/

Augenbaum v. Anson Investments Master Fund LP
https://marketfrauds.to/augenbaum-v-anson-investments-master-fund-lp-et-al/

GENIUS Brands – The Story Anson Funds Doesn’t Want You To Read
https://marketfrauds.to/genius-brands-the-story-anson-funds-doesnt-want-you-to-read/

Moez Kassam & Anson Funds: Panic as DOJ Widens Investigation
https://marketfrauds.to/moez-kassam-anson-funds-panic-as-doj-widens-investigation/

Anatomy of an Anson Funds Short & Distort Attack: Recon Africa
https://marketfrauds.to/anatomy-of-an-anson-funds-short-distort-attack-recon-africa/

New Lawsuit Against Anson Funds – Sentia Wellness
https://marketfrauds.to/new-lawsuit-against-anson-funds-sentia-wellness/

How Anson Funds Used Seeking Alpha to Crush Companies
https://marketfrauds.to/how-anson-funds-used-seeking-alpha-to-crush-companies/

Moez Kassam & Anson Funds Part IV: Selling Everyone Out
https://marketfrauds.to/moez-kassam-anson-funds-part-iv-selling-everyone-out/

Moez Kassam & Anson Funds: The Big Secret
https://marketfrauds.to/moez-kassam-anson-funds-the-big-secret/

Was Anson Funds Involved In The Hindenburg Report On The Adani Group
https://marketfrauds.to/was-anson-funds-involved-in-the-hindenburg-report-on-the-adani-group/