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SECURITIES AND EXCHANGE COMMISSION v. MINTZ et al
Case Number:
1:23-cv-03201
Court:
Nature of Suit:
Judge:
Firms
Government Agencies
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January 26, 2026
SEC Tells Judge Chat Records Bolster Its Short-Selling Claims
The U.S. Securities and Exchange Commission is looking for an early victory on certain claims against an investment adviser and its managing partner accused of engaging in an illicit short-selling scheme, arguing the managing partner's online messages and his own admission that he'd made a "poor business decision" support a finding in its favor.
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March 19, 2024
SEC's Naked Short-Selling Suit Against NJ Firm To Continue
A New Jersey federal judge has ruled the U.S. Securities and Exchange Commission can largely proceed with its case against a trader and his firm accused of reaping $2 million from an illegal short-selling scheme, but said it cannot seek civil penalties for alleged trading that occurred in three securities.