May 15, 2019
New Jersey's chief federal judge said Tuesday that he will not interfere with the U.S. Securities and Exchange Commission's investigation into a former government informant, regardless of claims that it is improper or vindictive.
April 16, 2019
A broker-dealer who was once a government informant slammed the U.S. Securities and Exchange Commission's claim that it's shielded from his bid to halt the agency's allegedly bogus investigation into his business dealings, arguing Monday that the federal government is not immune to his lawsuit.
April 01, 2019
The U.S. Securities and Exchange Commission on Friday slammed a broker-dealer's lawsuit accusing the agency of harassing him and business associates with subpoenas, telling a New Jersey federal judge to toss it because the government is insulated from such claims.
March 08, 2019
A broker-dealer and onetime government informant can't block the U.S. Securities and Exchange Commission from issuing or taking steps to enforce subpoenas as part of what he says is an unauthorized investigation designed to drive him out of business, a New Jersey federal judge ruled Friday.
March 06, 2019
A broker-dealer and onetime government informant has called on a New Jersey federal court to block the U.S. Securities and Exchange Commission from issuing or taking steps to enforce allegedly retaliatory subpoenas as part of what he claims is an unauthorized investigation designed to drive him out of business.
February 12, 2019
A broker-dealer and onetime government informant has slapped the U.S. Securities and Exchange Commission with a suit in New Jersey federal court alleging the agency has harassed him and his business associates with subpoenas in retaliation for ceasing his cooperation and beating criminal charges and related civil claims.