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Securities and Exchange Commission v. Hallas
Case Number:
1:17-cv-02999
Court:
Nature of Suit:
Judge:
Government Agencies
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September 21, 2017
Ex-Broker Skips Court After Telling SEC 'Just Die. Please'
A Manhattan judge was set on Thursday to order a default judgment against a former broker for subjecting unsophisticated clients to risky trades and spending client money on bar tabs, after the New York man sent a "rude and inappropriate" email to the U.S. Securities and Exchange Commission and skipped court.
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April 26, 2017
Broker Used Clients' Savings On Volatile Trades, SEC Says
A broker used client funds to make highly volatile and risky trades without their knowledge and to pay off his personal credit card debt, bar tabs and restaurant bills, the U.S. Securities and Exchange Commission alleged in New York federal court on Tuesday.