A Boutique Securities Enforcement and Business Litigation Firm

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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SEC Enforcement Alerts

Wed 23 Jan, 2019 | Client Alerts by Carl Schoeppl   vCard

SEC Division of Enforcement Publishes Enforcement Results for 2018 November 2, 2018, | Client Alert: Securities Enforcement By Carl F. Schoeppl On November 2, 2018, the SEC Division of Enforcement published its Annual Report for the Fiscal Year Ended September 30, 2018. In FY 2018, the SEC brought a diverse mix of 821 enforcement actions of which consisted of 490 “stand-alone” actions brought in federal court or as administrative proceedings, 210 were “follow-on” proceedings seeking …

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