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September 10, 2025

U.S. Securities and Exchange Commission v. Parker Terrill Austin et al

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Case Number:

8:25-cv-02034

Court:

California Central

Nature of Suit:

Securities/Commodities

Judge:

Fred W. Slaughter

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. September 10, 2025

    SEC Says Adviser Startup Broke Investor Data Privacy Rule

    An investment adviser representative and his firm were hit with a suit from the U.S. Securities and Exchange Commission on Wednesday over claims that the adviser, among other things, emailed himself confidential client information from his former employer as a step in creating his own investment firm.

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