April 06, 2026
A Connecticut attorney found liable for violating securities laws as a part of an alleged sham merger agreement can't get his $631,000 penalty modified after a Boston federal judge rejected the attorney's argument that the penalty sum reflects an unjust "double-count[ing]" error.
July 28, 2025
The U.S. Securities and Exchange Commission renewed its motion Monday for a more than $630,000 civil penalty and final judgment against securities attorney Henry Sargent, after years of litigation in Massachusetts federal court alleging he orchestrated a sham merger, saying Sargent "has never recognized the wrongfulness of his conduct."
July 24, 2023
The U.S. Securities and Exchange Commission told a judge Monday it does not wish to retry a Connecticut attorney on claims he orchestrated a sham merger, saying an injunction and six-figure disgorgement order already entered in the case largely accomplish its goals.
July 11, 2023
The same Massachusetts federal judge whose admitted jury polling error led to a securities fraud verdict against a Connecticut attorney being thrown out said Tuesday he will preside over the retrial despite the lawyer's bid to have him recused.
July 10, 2023
A Connecticut attorney on Monday ripped the U.S. Securities and Exchange Commission's argument that the same judge whose jury polling blunder led to a new trial on securities fraud claims should hear the case a second time, calling it "detached from reality."
July 05, 2023
A Connecticut attorney's request for a new judge to oversee his retrial on security fraud claims runs headlong into an "uninterrupted line of cases" showing the local rule on recusal and reassignment doesn't apply to him, the U.S. Securities and Exchange Commission argued.
June 20, 2023
A Connecticut attorney accused by the U.S. Securities and Exchange Commission of orchestrating a sham merger wants a new judge to hear his next trial after the first verdict against him was thrown out due to the current judge's failure to poll the jury.
June 02, 2022
A judge's admittedly "inexcusable" mistake in failing to poll a jury after they found a Connecticut lawyer liable for stock fraud is enough to merit a new trial, a different federal judge ruled Thursday.
June 01, 2022
A Boston federal judge said Wednesday that allegedly faulty jury instructions don't warrant giving a Connecticut attorney a new trial in a U.S. Securities and Exchange Commission stock fraud case.
May 25, 2022
A Connecticut attorney asked that any penalties stemming from his loss in a U.S. Securities and Exchange Commission fraud suit be delayed while sorting out whether a judge's failure to poll the jury post-verdict is grounds for a new trial.