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Mealeys

MLex

December 11, 2017

Securities and Exchange Commission v. Westport Capital Markets, LLC 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.

Coverage

  1. July 06, 2021

    Judge Hands Conn. Broker $1.5M Order In SEC Case

    A Connecticut federal judge decided Tuesday not to fine an investment adviser the entire amount requested by the U.S. Securities and Exchange Commission for defrauding his clients but still ordered $1.5 million in penalties and disgorgement against the broker and his firm.

5 other articles on this case. View all »

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