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September 25, 2023

Securities and Exchange Commission v. Vista Financial Advisors LLC et al

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Case Number:

1:23-cv-08432

Court:

New York Southern

Nature of Suit:

Securities/Commodities

Judge:

Victor Marrero

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. September 25, 2023

    SEC Says Small Adviser Falsely Claimed To Manage Trillions

    The U.S. Securities and Exchange Commission hit a small New York-based investment advisory firm with a suit alleging it had falsely claimed to manage $10 billion in assets, then doubled down on that lie by bumping the figure to $11.5 trillion.

Parties

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