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Securities and Exchange Commission v. Thompson et al
Case Number:
1:14-cv-09126
Court:
Nature of Suit:
Judge:
Firms
Government Agencies
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March 14, 2019
Stock Promoter Calls SEC's $2.4M Ask In Fraud Suit Too Much
A former stock promoter urged a New York federal judge Wednesday not to award a partial win to the U.S. Securities and Exchange Commission in its fraud suit against him, arguing that the agency is seeking far more relief than it is entitled to.
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February 19, 2019
SEC Says Guilty Plea Warrants Win On Civil Fraud Claims
The U.S. Securities and Exchange Commission told a New York federal court Friday that a guilty plea by a man who participated in a pump-and-dump scheme entitles the agency to a quick win on most claims in its parallel civil suit.
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March 03, 2017
Accused Pump-And-Dump Fraudster Can't Duck SEC Claims
A Manhattan federal judge on Thursday refused to grant summary judgment to a Maryland man accused by the U.S. Securities and Exchange Commission of a scheme to inflate the value of some $290 million in penny stocks, finding that a Florida case the commission brought earlier does not short-circuit its New York suit.