In re Goldfarb

OPINION OF THE COURT

On April 21, 2011, the respondent pleaded guilty in the United States District Court for the Southern District of New York, before the Honorable Richard J. Sullivan, to the following offenses: conspiracy to commit securities fraud, in violation of 18 USC § 371; and securities fraud (two counts), in violation of 15 USC § 78j (b) and § 78ff, 17 CFR 240.10b-5 and 18 USC § 2, both federal felonies. He was sentenced on August 19, 2011, to concurrent terms of three years’ imprisonment on each count. A fine of $32,500 and an assessment fee of $200 were also imposed, along with…