Legal Opinion
Sec. & Exch. Comm'n v. Riel
District Court, N.D. New York
Decided September 27, 2017No. 5:15–CV–1166 (MAD/DEP)PublishedCited by 5 opinions
1Opinion of the Court
Mae A. D'Agostino, U.S. District Judge:
I. INTRODUCTION
On September 29, 2015, Plaintiff Securities and Exchange Commission ("SEC") commenced this action alleging that Defendants Charles Riel, III and Reinvest LLC, singly or in concert, directly or indirectly, violated Section 17(a) of the Securities Act of 1933 (the "Securities Act"), 15 U.S.C. § 77q(a) ; Section 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), 15 U.S.C. § 78j(b) ; and Rule 10b-5 thereunder, 17 C.F.R. § 240.10b-5. The complaint further alleges that Defendant Riel is also liable (i) under Exchange Act Section…
2Cases cited58 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
- Basic Inc. v. LevinsonSupreme Court of the United States · 1988
- TSC Industries, Inc. v. Northway, Inc.Supreme Court of the United States · 1976
- Lorenzo CHAMBERS, Plaintiff-Appellant, v. TRM COPY CENTERS CORPORATION, Defendant-AppelleeCourt of Appeals for the Second Circuit · 1994
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3Cited by5 opinions
- State v. ZarinegarIdaho Supreme Court · 2020
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- SECURITIES AND EXCHANGE COMMISSION v. MINTZDistrict Court, D. New Jersey · 2024
- Securities and Exchange Commission v. ColangeloDistrict Court, W.D. New York · 2023
- Securities and Exchange Commission v. DeanDistrict Court, S.D. New York · 2020