A Boutique Securities Enforcement and Business Litigation Firm

Federal Court Battle re: Church Donations

Tue 28 May, 2019 | News by

From https://cbs12.com/news/ “A real-life church versus state battle is brewing in federal court in West Palm Beach.” See the rest of the story here.

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Kokesh v SEC Opinion

Thu 24 Jan, 2019 | Client Alerts by Carl Schoeppl   vCard

137 S.Ct. 1635 Supreme Court of the United States Charles R. KOKESH, Petitioner v. SECURITIES AND EXCHANGE COMMISSION. No. 16–529. | Argued April 18, 2017. | Decided June 5, 2017. Synopsis Background: Securities and Exchange Commission (SEC) brought an enforcement action against the owner of two investment adviser firms for misappropriation of funds from business development companies in violation of federal securities laws. The United States District Court for the District of New Mexico, Stephan …

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KeyCite Yellow Flag – Negative Treatment Declined to Extend by Securities and Exchange Commission v. Graham

Thu 24 Jan, 2019 | Client Alerts by Carl Schoeppl   vCard

133 S.Ct. 1216 Supreme Court of the United States Marc J. GABELLI and Bruce Alpert, Petitioners v. SECURITIES AND EXCHANGE COMMISSION. No. 11–1274. | Argued Jan. 8, 2013. | Decided Feb. 27, 2013. Synopsis Background: Securities and Exchange Commission (SEC) brought enforcement actions against investment advisors, seeking civil penalties for aiding and abetting fraud. The United States District Court for the Southern District of New York, Deborah A. Batts, J., 2010 WL 1253603, dismissed claims …

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SEC v. Scoville

Thu 24 Jan, 2019 | Client Alerts by Carl Schoeppl   vCard

2019 WL 302867 Only the Westlaw citation is currently available. United States Court of Appeals, Tenth Circuit. SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Charles D. SCOVILLE, Defendant-Appellant, and Traffic Monsoon, LLC, Defendant. Peggy Hunt, Receiver – Amicus Curiae. No. 17-4059 | FILED January 24, 2019 Appeal from the United States District Court for the District of Utah (D.C. No. 2:16-CV-00832-JNP) Attorneys and Law Firms Loren Washburn (Micah S. Echols and Tom W. Stewart, Marquis Aurbach …

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