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December 08, 2009
Securities and Exchange Commission v. Brookstreet Securities Corp et al
Case Number:
8:09-cv-01431
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Government Agencies
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Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.
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November 18, 2014
SEC Seeks Smaller Brookstreet Penalty After Miscalcutions
The U.S. Securities and Exchange Commission on Monday asked a California federal judge to impose a much smaller penalty on Brookstreet Securities Corp.'s former CEO than the $10 million originally sought after the agency acknowledged its first calculations of what he should pay likely were flawed.
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