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October 27, 2016

Securities and Exchange Commission v. Broidy et al

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Case Number:

1:16-cv-05960

Court:

New York Eastern

Nature of Suit:

Securities/Commodities

Judge:

Eric N. Vitaliano

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. May 26, 2017

    SEC, Investment Adviser Settle On $1.7M Disgorgement

    The head of a wealth management firm has agreed to pay approximately $1.7 million to settle a U.S. Securities and Exchange Commission suit in New York federal court, following an earlier guilty plea to an investment adviser fraud charge in a parallel criminal suit.

1 other articles on this case. View all »

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