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Securities and Exchange Commission v. LG Capital Funding, LLC et al
Case Number:
1:22-cv-03353
Court:
Nature of Suit:
Judge:
Firms
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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November 14, 2023
Firm Can't Block SEC's $30M Unregistered Dealer Suit
A New York federal judge declined to toss a U.S. Securities and Exchange Commission suit claiming that an investment firm and its owners sold more than $30 million in securities without registering as dealers, saying the SEC has plausibly alleged that the owners are dealers.