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January 09, 2017
Securities and Exchange Commission v. Dean et al
Case Number:
1:17-cv-00139
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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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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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