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MLex

September 19, 2023

Securities and Exchange Commission v. Lufkin Advisors, LLC et al

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Case Number:

9:23-cv-81289

Court:

Florida Southern

Nature of Suit:

Securities/Commodities

Judge:

Robin L. Rosenberg

Firms

Government Agencies

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Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.

Coverage

  1. June 25, 2024

    Adviser, Firm Owe SEC $425K For Mishandling Crypto Assets

    A Florida federal judge on Tuesday approved approximately $425,000 in settlements in a suit by the U.S. Securities and Exchange Commission against an investment adviser and its owner, alleging they hid investment strategies and lost control of the firm's recordkeeping, preventing them from accessing crypto assets possibly worth $10 million.

1 other articles on this case. View all »

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