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Mealeys

MLex

December 06, 2017

Securities and Exchange Commission v. Berkey et al

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Case Number:

1:17-cv-09552

Court:

New York Southern

Nature of Suit:

Securities/Commodities

Judge:

Gabriel W. Gorenstein

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. 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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