SEC v. KEVIN N. RICHARDS, Central District of California (Dec. 15, 2025) — Complaint
raw: Order Instituting Administrative Proceedings
Order Instituting Administrative Proceedings (Dec. 15, 2025)
Classified unregistered-securities(confidence 100%). EDGAR detection: forms Form D/S-1· recall 41% / precision 30%. detection rule →
Statutes
15 U.S.C. § 78u(d)15 U.S.C. § 80b-9(d)15 U.S.C. §77v (a)28 U.S.C. § 246215 U.S.C. § 78o(a)15 U.S.C. § 80b-6(2)15 U.S.C. § 77t(d)15 U.S.C. § 80b-9(e)15 U.S.C. § 77e(a)15 U.S.C. § 78o(b)15 U.S.C. § 80b-2(a)15 U.S.C. § 77e15 U.S.C. § 78(o)15 U.S.C. § 80bSection 20(b) of the Securities ActSections 20(d) and 22(a) of the Securities ActSections 20(d) and 22(a) of the Securities ActSections 5(a) and 5(c) of the Securities ActSections 5(a) and 5(c) of the Securities ActSection 15(a) of the Securities Exchange ActSection 206(2) of the Investment Advisers ActSections 5 of the Securities ActSections 5(a) and (c) and 17(a)(2) and (3) of the Securities ActSections 5(a) and (c) and 17(a)(2) and (3) of the Securities ActSections 5(a) and (c) and 17(a)(2) and (3) of the Securities ActSection 2(a)(1) of the Securities ActSection 2(a)(1) of the Securities Act
Parties
Securities and Exchange CommissionKEVIN N. RICHARDS
Keywords
securitiesrichardsoilgaspageresoluteinvestmentdocument pagepage pageinvestment adviserbeacon globalinvestorsdirectly indirectlysecurities exchangecommission
Extracted insights
Entities 7
- organization Defendant
- person Defendant
- person Kevin N. Richards
- company resolute capital partners, llc
- organization Resolute Capital Partners, LLC
- agency Securities and Exchange Commission
- organization Securities and Exchange Commission
Triples 7
- Securities And Exchange Commission brings action against Kevin N. Richards
- Kevin N. Richards made use means or instruments of transportation or communication in interstate commerce
- Defendant engaged interstate emails and telephone calls with clients and Resolute personnel
- Securities And Exchange Commission executed tolling agreements with Defendant
- Kevin N. Richards marketed and sold $12 million of investments in Oil and Gas Securities
- Resolute Capital Partners, LLC paid transaction-based compensation to Richards
- Kevin N. Richards targeted existing base of insurance clients to purchase Oil and Gas Securities
Text layers
Extracted body text (140c)
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