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SECURITIES AND EXCHANGE COMMISSION v. MINTZ et al
Case Number:
2:23-cv-03201
Court:
Nature of Suit:
Judge:
Firms
Government Agencies
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August 25, 2023
NJ Broker Slams SEC's 'Wildly Overblown' Short Sale Suit
A New Jersey investment firm is asking a federal judge to toss a large portion of a lawsuit by the U.S. Securities and Exchange Commission alleging it reaped $2 million from an illegal short-selling scheme, arguing that the "wildly overblown" claims don't include enough specifics.
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June 12, 2023
SEC Levels New Claims Against Short Selling Trader
The U.S. Securities and Exchange Commission filed a lawsuit Monday against a New Jersey-based investment adviser that has fallen under the agency's microscope before, this time alleging the firm and its leader made over $2 million off naked short sales of public company stock.