Legal Opinion
SECURITIES AND EXCHANGE COMMISSION v. AMBASSADOR ADVISORS, LLC
District Court, E.D. Pennsylvania
Decided September 7, 2022No. 5:20-cv-02274Unknown
1Opinion
IN THE UNITED STATES DISTRICT COURT FOR THE EASTERN DISTRICT OF PENNSYLVANIA __________________________________________ SECURITIES AND EXCHANGE : COMMISSION, : Plaintiff, : : v. : Civil No. 5:20-cv-02274-JMG : AMBASSADOR ADVISORS, LLC, et al., : Defendants. : __________________________________________ MEMORANDUM OPINION GALLAGHER, J. September 7, 2022 I. OVERVIEW The Securities and Exchange Commission (the “SEC”) brought this civil enforcement action against Defendants to enforce the Investment Advisers Act of 1940 (the “Advisers Act”). Specifically, the SEC claimed Defendant Ambassador…
2Cases cited7 opinions
- Liu v. SEC. & Exch. Comm'nSupreme Court of the United States · 2020
- Securities & Exchange Commission v. MoranDistrict Court, S.D. New York · 1996
- Rubber Co. v. GoodyearSupreme Court of the United States · 1869
- Securities & Exchange Commission v. TeoCourt of Appeals for the Third Circuit · 2014
- SEC v. Guy GentileCourt of Appeals for the Third Circuit · 2019
2 more not listed; retrieve them via the Exa API.