Legal Opinion
Securities & Exchange Commission v. Thompson
District Court, S.D. New York
Decided March 2, 2017No. 14-cv-9126 (KBF)PublishedCited by 22 opinions
1Opinion of the Court
OPINION & ORDER
KATHERINE B. FORREST, United States District Judge
This is an enforcement action brought by the New York office of the Securities and Exchange Commission (“SEC”) against defendants Anthony J. Thompson Jr., Jay Fung and Eric Van Nguyen— three alleged penny stock promoters—and three relief defendants. (ECF No. 1 (“Compl.”) ¶¶ 9-13.) The SEC alleges that, from November 2009 to September 2010, defendants conducted five penny stock “pump-and-dump”/“scalping” schemes in which they touted certain securities to the investing public without disclosing the extent of their financial stakes…
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