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September 10, 2025

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

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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.

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  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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