SEC v. Geoffrey H. Lunn (2018)

Judgment entered

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In February 2018 the SEC announced a final judgment in Colorado against Geoffrey H. Lunn over Dresdner Financial, a fictitious firm that took more than $5 million from at least 70 investors, ordering $5,466,840 in disgorgement, $478,648 in interest and a $5,466,840 penalty. He received 54 months in a parallel criminal case.

The record

Structured fields for this action, as recorded in our case library.
Agency	SEC
Release number	LR-24043
Date filed	2018-02-12
Date resolved	2018-02-12
Court	U.S. District Court, District of Colorado
Status	judgment
Criminal parallel	Yes: sentenced (Geoffrey H. Lunn), U.S. District Court, District of Colorado
Sentence	4y 6m
Defendants	Geoffrey H. Lunn (individual)
Cited as charged or alleged	Exchange Act s.10(b) and Rule 10b-5 ; Exchange Act s.15(a) ; Securities Act s.17(a) ; Securities Act s.5 (statutes and rules cited in the document; not a finding that they were violated)
Techniques

What was ordered

Civil penalty: $5.5m
Disgorgement: $5.5m
Prejudgment interest: $479k
Total relief: $11.4m
Alleged gain: —

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

The judgment, entered January 31, 2018, enjoins Lunn from antifraud and broker registration violations. The SEC alleged he posed as Dresdner's vice president and promised guaranteed returns, then gave $848,500 to call girls, withdrew over $1 million in cash, paid $1.3 million to people who marketed the hoax and made a $1 million Ponzi-like payment to a favored investor.

The single Ponzi-like payment is incidental to a fictitious-firm fraud, so the ponzi-schemes tag has been removed. The record held no money and a lead name ending "et al."

Timeline

2018-02-12 Litigation release published

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 litigation release

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.

Record added September 10, 2026. submit a correction.