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Mealeys

MLex

May 19, 2021

Securities Exchange Commission v. BTIG, LLC

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Case Number:

1:21-cv-04521

Court:

New York Southern

Nature of Suit:

Securities/Commodities

Judge:

Edgardo Ramos

Companies

Sectors & Industries:

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 02, 2022

    Broker-Dealer To Pay SEC $694K To End 'Naked' Shorting Suit

    Broker-dealer BTIG has agreed to pay more than $694,000 in penalties, disgorgement and interest to settle a U.S. Securities and Exchange Commission lawsuit alleging it violated federal regulations aimed at preventing the improper practice known as "naked short-selling," or selling shares that have not been affirmatively borrowed or located.

1 other articles on this case. View all »

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