SEC v. Anthony John Johnson (ponzi schemes, 2013)

Judgment entered

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In September 2013 an SEC administrative law judge barred Anthony John Johnson from the securities industry by default, after his convictions for securities, mail and wire fraud, including a Ponzi scheme he ran in 2010 and 2011 while associated with an unregistered adviser to two hedge funds.

The record

What was ordered

Civil penalty

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Disgorgement

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Prejudgment interest

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Total relief

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Alleged gain

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A dash means the release did not state a figure we could extract, not that the figure is zero. Penalty and disgorgement are stored separately so aggregates across the library do not double-count the same dollars.

What is alleged to have happened

Johnson did not answer the order instituting proceedings, so its allegations were found true. He was convicted in 2011 of conspiracy to commit securities, mail and wire fraud and in 2012 of mail fraud, and sentenced to 138 months with restitution of about $12.8 million. The conduct covers a 2002 to 2003 stock scheme at Park Capital Securities and the later Ponzi scheme at RAHFCO Management Group.

The order imposes the bar and no money. The record omitted the criminal case and the sentence.

This library tags the matter as ponzi schemes because the document describes payments to earlier participants made from later participants' money. The tagging is ours, not the regulator's: agencies charge statutory provisions, not technique names.

What technique is this, and how does it work?

This action is tagged with one technique in our taxonomy. The tagging is ours: regulators charge statutory provisions, not technique names, so the mapping is an editorial judgement described in our editorial policy.

• Ponzi schemes — see how it works, what statute it engages, and every other action tagged the same way.

Timeline

1. 2013-09-05 Administrative proceeding instituted (findings)

Primary documents

Everything on this page derives from the documents below. Where our summary and the primary document disagree, the primary document is right.

• SEC order

The linked release is a work of the United States government and is not subject to copyright. Our summary and narrative above are our own writing.

Related actions

Other actions in the library sharing at least one technique tag with this one.

Record added September 10, 2026. submit a correction.