SEC v. Ann M. Vick (2021)

Settled

Checked against the primary document on October 3, 2026. The library's summary, tags and figures for this record were compared with the regulator's own document by an AI model (Claude) following written instructions, with sampled and disputed records read a second time. No lawyer has reviewed them. A checked record can still contain errors, and checked does not mean endorsed. See how we check records or report a correction.

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In October 2021 the SEC charged Colorado adviser Ann Vick with raising about $3.2 million from nearly two dozen investors for AMV Investments by posing as a consistently successful options trader. She consented to an injunction, $570,150 of disgorgement, $27,929 of interest, a $570,150 penalty and an officer and director bar.

The record

Structured fields for this action, as recorded in our case library.
Agency	SEC
Release number	LR-25246
Date filed	2021-10-26
Date resolved	2021-10-26
Court	U.S. District Court, District of Colorado
Status	settled
Criminal parallel	No
Bars imposed	officer-and-director bar
Defendants	Ann M. Vick (individual)
Cited as charged or alleged	Advisers Act s.206 ; Exchange Act s.10(b) and Rule 10b-5 ; Securities Act s.17(a) (statutes and rules cited in the document; not a finding that they were violated)
Techniques

What was ordered

Civil penalty: $570k
Disgorgement: $570k
Prejudgment interest: $27.9k
Total relief: $1.2m
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 SEC announced the case on October 26, 2021 (LR-25246) in the District of Colorado. After trading losses in early 2020 she allegedly made Ponzi-like payments and misappropriated about $570,150. The settlement was subject to court approval.

The Ponzi tag is removed because the release is headed fraud by an options-trading adviser, with Ponzi-like payments after losses. The record omitted the interest, penalty and bar.

Timeline

2021-10-26 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.