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Mealeys

MLex

March 09, 2009

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

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Case overview

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.

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