Try our Advanced Search for more refined results

March 09, 2009

Securities and Exchange Commission v. Locke Capital Management, Inc. et al

Track this case

Case Number:

1:09-cv-00100

Court:

Rhode Island

Nature of Suit:

Securities/Commodities

Judge:

William E Smith

Government Agencies

View recent docket activity

Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.

Coverage

  1. June 30, 2011

    Adviser Ordered To Pay $1.9M In Fake Swiss Firm Scam

    A Rhode Island federal judge on Thursday ordered a Newport, R.I., woman to pay back nearly $1.9 million that her investment advisory firm earned by creating a fictitious Swiss client to bolster its image.

Parties

Stay ahead of the curve

In the legal profession, information is the key to success. You have to know what’s happening with clients, competitors, practice areas, and industries. Law360 provides the intelligence you need to remain an expert and beat the competition.


  • Direct access to case information and documents.
  • All significant new filings across U.S. federal district courts, updated hourly on business days.
  • Full-text searches on all patent complaints in federal courts.
  • No-fee downloads of the complaints and so much more!

TRY LAW360 FREE FOR SEVEN DAYS

View the parties now

Already a subscriber? Click here to login

Hello! I'm Law360's automated support bot.

How can I help you today?

For example, you can type:
  • I forgot my password
  • I took a free trial but didn't get a verification email
  • How do I sign up for a newsletter?
Ask a question!