Legal Opinion
Securities and Exchange Commission v. Mattessich
District Court, S.D. New York
Decided November 15, 2022No. 1:18-cv-05884Unknown
1Opinion
UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK SECURITIES AND EXCHANGE COMMISSION, Plaintiff, 18 Civ. 5884 (KPF) -v.- OPINION AND ORDER ADAM MATTESSICH, Defendant. KATHERINE POLK FAILLA, District Judge: Following a five-day jury trial, Adam Mattessich (“Defendant”) was found liable for aiding and abetting violations of Section 17(a) of the Securities Exchange Act of 1934, 15 U.S.C. § 78q(a), and Rule 17a-3(a)(19) (the “Compensation Record Rule”) promulgated thereunder. The United States Securities and Exchange Commission (“Plaintiff”) now seeks a permanent injunction against…
2Cases cited22 opinions
- Securities and Exchange Commission v. First Jersey Securities, Inc. And Robert E. BrennanCourt of Appeals for the First Circuit · 1996
- Securities and Exchange Commission v. Manor Nursing Centers, Inc.Court of Appeals for the Second Circuit · 1972
- Fed. Sec. L. Rep. P 96,351 Securities and Exchange Commission v. Commonwealth Chemical Securities, Inc.Court of Appeals for the Second Circuit · 1978
- Securities & Exchange Commission v. RazmilovicCourt of Appeals for the Second Circuit · 2013
- United States v. CarsonCourt of Appeals for the Second Circuit · 1995
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