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Securities and Exchange Commission v. Dean et al
Case Number:
1:17-cv-00139
Court:
Nature of Suit:
Judge:
Firms
Government Agencies
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July 22, 2021
2nd Circ. Says SEC Moved Fast Enough In Suing NY Broker
The timer for bringing actions to enforce civil fines, penalties or forfeiture can be paused, the Second Circuit ruled in a precedential opinion Thursday as it upheld a $2 million judgment against a former Long Island broker who tried to get his U.S. Securities and Exchange Commission violations reversed on a timing technicality.
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February 26, 2020
SEC Secures $2M Judgment Against Ex-NY Broker
A former broker must pay over $2 million to the U.S. Securities and Exchange Commission and his victims in the regulator's suit accusing him of ripping off investors with excessive trading fees and reckless investments, a New York federal judge ruled Tuesday.
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March 06, 2018
Ex-Brokers Slam SEC Bid For Early Win In Trade Fee Fight
Two former brokers facing U.S. Securities and Exchange Commission claims that they ripped off investors with excessive trading fees and reckless investments have urged a New York federal judge not to grant the agency an early win, saying the SEC's evidence against them is subject to interpretation.
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March 05, 2018
Ex-Broker Fights Sanctions Bid Over Tossed Call Recordings
A former broker accused of ripping off his customers with excessive trading fees has pushed back on the U.S. Securities and Exchange Commission's bid to have him sanctioned for throwing away a device containing customer call recordings, telling a New York federal court on Friday that his alleged act of evidence destruction was actually just an innocent mistake.
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February 13, 2018
SEC Wants Sanctions After Call Recordings Thrown Away
The U.S. Securities and Exchange Commission has asked a New York federal court to sanction a former broker and his attorney over the alleged destruction of call recordings that the broker was supposed to turn over to the agency for use in its suit accusing him of ripping off customers with excessive trading in their accounts.