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SEC Bars Investment Advisor Charles Ganz

U. S. Securities and Exchange Commission Bars Investment Advisor Charles B. Ganz
Posted by: Jeffrey B. Kaplan
November 23, 2009

On September 29, 2009, the U.S. Securities and Exchange Commission ("SEC") barred Charles B. Ganz from working as an investment advisor and further barred him being employed in any capacity by an investment advisor. Ganz was the Chairman, sole officer, and sole owner of Stratum Wealth Management, LLC. The SEC accused Ganz and Stratum of violations of willful violations of various anti-fraud provisions of Federal securities laws, including the Securities Act of 1933 the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, and the Investment Company Act of 1940.

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