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Securities Exchange Commission v. River North Equity LLC et al
Case Number:
1:19-cv-01711
Court:
Nature of Suit:
Judge:
Firms
- DLA Piper
- Hunter Taubman
- Murphy Cooke LLP
- Sallah Astarita
- Shipley Law Group
- Smith Gambrell
- Venable LLP
Government Agencies
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May 22, 2025
SEC Drops Dealer Suits In 'Astonishing' Move, Crenshaw Says
The U.S. Securities and Exchange Commission on Thursday dropped several suits targeting businesses for failing to register as securities "dealers" with the agency as required by law, a move that the SEC's sole Democratic commissioner called "astonishing."
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January 15, 2021
Video Tech Co. Founder Charged In Pump-And-Dump Scheme
The founder of a Silicon Valley video streaming service and an investment manager have been indicted for allegedly orchestrating a pump-and-dump stock fraud scheme, Illinois federal prosecutors announced Friday.
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December 20, 2019
Penny Stock Cos. Exit Suit After Their Founder Ghosts Atty
Two companies accused of involvement in an $8.3 million penny stock scheme have agreed not to sell unregistered stocks and will exit a federal securities action, an Illinois federal judge said Friday.
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December 04, 2019
PE Firm, Execs Can't Exit SEC Suit Over $17.8M Stock Scheme
A Chicago private equity firm and its executives accused of acting as unregistered brokers and dealers must face the U.S. Securities Exchange Commission's lawsuit seeking to hold them liable over an alleged $17.8 million stock scheme, an Illinois federal judge said Wednesday.
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November 25, 2019
PE Firm, Execs Look To Dodge $17.8M Stock Scheme Suit
A Chicago private equity firm and two executives argued Monday that the U.S. Securities and Exchange Commission hasn't lobbed enough allegations to advance claims that they acted as unregistered securities dealers and brokers in carrying out a $17.8 million stock scheme.
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July 12, 2019
PE Firm In $17.8M Stock Scheme Is No 'Ordinary Trader': SEC
The U.S. Securities and Exchange Commission is fighting bids by River North Equity LLC and its sole manager to dodge claims over an alleged $17.8 million stock scheme, saying the private equity firm's trading activities prove it's "not an ordinary trader."
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May 13, 2019
PE Firm Says SEC Can't Call It A 'Dealer' Over Stock Scheme
Private equity firm River North Equity LLC and its sole manager want out of a U.S. Securities and Exchange Commission enforcement action, saying the agency has not shown that the firm was a "dealer" in connection to an alleged stock manipulation scheme.