Legal Opinion
Securities & Exchange Commission v. Constantin
District Court, S.D. New York
Decided April 2, 2013No. 11 Cv. 4642(MHD)PublishedCited by 16 opinions
1Opinion of the Court
MEMORANDUM & ORDER
MICHAEL H. DOLINGER, United States Magistrate Judge.. The Securities and Exchange Commission (“SEC”) brought this civil enforcement action against defendants Joshua Constantin, Brian Solomon, and Windham Securities, Inc.,1 alleging that the defendant broker-dealers misled clients about their professional experience and qualifications, misappropriated client funds, and knowingly prepared false account statements to cover up their fraud, all in violation of § 17(a) of the Securities Act of 1933 (“Securities Act”), 15 U.S.C. § 77q(a), and § 10(b) the Securities Exchange Act of…
2Cases cited67 opinions
- Anderson v. Liberty Lobby, Inc.Supreme Court of the United States · 1986
- Celotex Corp. v. Catrett, Administratrix of the Estate of CatrettSupreme Court of the United States · 1986
- Adickes v. S. H. Kress & Co.Supreme Court of the United States · 1970
- Ernst & Ernst v. HochfelderSupreme Court of the United States · 1976
- Herman & MacLean v. HuddlestonSupreme Court of the United States · 1983
62 more not listed; retrieve them via the Exa API.
3Cited by16 opinions
- Securities & Exchange Commission v. China Northeast Petroleum Holdings Ltd.District Court, S.D. New York · 2014
- Marini v. AdamoDistrict Court, E.D. New York · 2014
- Securities & Exchange Commission v. CKB168 Holdings, Ltd.District Court, E.D. New York · 2016
- Commodity Futures Trading Comm'n v. McDonnellDistrict Court, E.D. New York · 2018
- U.S. Securities and Exchange Commission v. E-Smart Technologies, Inc.District Court, District of Columbia · 2015
11 more not listed; retrieve them via the Exa API.