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January 15, 2021

Securities and Exchange Commission v. Sztrom et al

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Case Number:

3:21-cv-00086

Court:

California Southern

Nature of Suit:

Securities/Commodities

Judge:

Marilyn L. Huff

Firms

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. May 12, 2021

    Father-Son Investment Duo Can't Duck SEC's Fraud Claims

    A California federal judge on Tuesday refused to dismiss U.S. Securities and Exchange Commission claims that a dad impersonated his son in order to give professional financial advice to clients when he was unable to access brokerage platforms himself.

1 other articles on this case. View all »

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