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December 06, 2017

Securities and Exchange Commission v. Berkey et al

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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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  1. December 06, 2017

    SEC Says Excessive Trading By 2 NY Brokers Hurt Clients

    Two brokers working for New York-based brokerage Four Points Capital Partners LLC made more than $100,000 each in commissions while recommending a high-cost trading strategy to clients who collectively wound up losing nearly $574,000, the U.S. Securities and Exchange Commission said in a suit filed Wednesday in New York federal court.

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