United States SEC Charged Advisor Scott J. Mason & His 2 Companies Rubicon Wealth Management & Orchard Park Real Estate Holdings for Misappropriating $20 Million from at Least 13 Clients from 2014 to 2024 by Forging Signatures & Providing Fake Statements, Used Funds for Personal Expenses Including Buying a Portion of a Miniature Golf Course, Pay Country Club Fees & Transfer Funds to Other Clients
20th January 2025 | Hong Kong
The United States Securities and Exchange Commission (SEC) has charged advisor Scott J. Mason & his 2 companies Rubicon Wealth Management & Orchard Park Real Estate Holdings for misappropriating more than $20 million from at least 13 clients from 2014 to 2024 by forging signatures & providing fake statements, using the funds for personal expenses including buying a portion of a miniature golf course, pay country club fees & transfer funds to other clients. United States SEC (17/1/25): “The Securities and Exchange Commission today charged former Pennsylvania-based investment adviser Scott J. Mason, and his companies Rubicon Wealth Management LLC and Orchard Park Real Estate Holdings LLC, with misappropriating more than $20 million from at least 13 Rubicon advisory clients. According to the SEC’s complaint, from at least 2014 to 2024, Mason made unauthorized transfers of money from Rubicon clients’ accounts to his own accounts and those of his entities, Rubicon and Orchard Park. As the complaint alleges, Mason used the money for his own purposes, including to pay country club dues, transfer it to other clients, and purchase a portion of a miniature golf course in New Jersey. The complaint further alleges that Mason forged clients’ signatures, made numerous misrepresentations about what he was doing with clients’ money, and concealed his fraud for years by providing fake account statements and tax documents. The SEC’s complaint, filed in the U.S. District Court for the Eastern District of Pennsylvania, charges Mason, Rubicon, and Orchard Park with violating the antifraud provisions of the federal securities laws. Mason, Rubicon, and Orchard Park have consented to the entry of final judgments that permanently enjoin them from committing future violations of those provisions and provides that the court will decide the amounts of disgorgement, prejudgment interest, and civil penalties at a later date. The settlement is subject to court approval. In a parallel action, the U.S. Attorney’s Office for the Eastern District of Pennsylvania today announced criminal charges against Mason.”
“ United States SEC Charged Advisor Scott J. Mason & His 2 Companies Rubicon Wealth Management & Orchard Park Real Estate Holdings for Misappropriating $20 Million from at Least 13 Clients from 2014 to 2024 by Forging Signatures & Providing Fake Statements, Used Funds for Personal Expenses Including Buying a Portion of a Miniature Golf Course, Pay Country Club Fees & Transfer Funds to Other Clients “
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United States SEC Charged Advisor Scott J. Mason & His 2 Companies Rubicon Wealth Management & Orchard Park Real Estate Holdings for Misappropriating $20 Million from at Least 13 Clients from 2014 to 2024 by Forging Signatures & Providing Fake Statements, Used Funds for Personal Expenses Including Buying a Portion of a Miniature Golf Course, Pay Country Club Fees & Transfer Funds to Other Clients
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