Legal Opinion
Securities & Exchange Commission v. Nadel
District Court, E.D. New York
Decided March 31, 2015No. 11-CV-215 (WFK)(AKT)PublishedCited by 7 opinions
1Opinion of the Court
DECISION & ORDER
WILLIAM F. KUNTZ, II, District Judge.
The Securities and Exchange Commission (“SEC”) brings this action against Defendants Warren D. Nadel (“Nadel”), Warren D. Nadel & Co. (“WDNC”), and Registered Investment Advisers, LLC (“RIA”) (collectively “Defendants”), and Relief Defendant Katherine Nadel. The SEC alleges Defendants fraudulently induced clients of RIA to invest millions of dollars in an investment strategy by mis- ■ representing to clients and to prospective clients the amount of assets Defendants had under management and by failing to provide written notice and to obtain…
2Cases cited22 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
- Matsushita Electric Industrial Co., Ltd. v. Zenith Radio CorporationSupreme Court of the United States · 1986
- Basic Inc. v. LevinsonSupreme Court of the United States · 1988
- TSC Industries, Inc. v. Northway, Inc.Supreme Court of the United States · 1976
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3Cited by7 opinions
- U.S. Sec. & Exch. Comm'n v. AhmedDistrict Court, D. Connecticut · 2018
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- Securities and Exchange Commission v. Invesco Alpha Inc.District Court, D. Colorado · 2026
- Securities and Exchange Commission v. RinfretDistrict Court, S.D. New York · 2020
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