Legal Opinion
SECURITIES AND EXCHANGE COMMISSION v. MCDERMOTT
District Court, E.D. Pennsylvania
Decided March 30, 2022No. 5:19-cv-04229Unknown
1Opinion
IN THE UNITED STATES DISTRICT COURT FOR THE EASTERN DISTRICT OF PENNSYLVANIA SECURITIES AND EXCHANGE CIVIL ACTION COMMISSION, Plaintiff, NO. 19-4229-KSM v. DEAN PATRICK MCDERMOTT, et al., Defendants. MEMORANDUM MARSTON, J. March 30, 2022 Defendant Dean Patrick McDermott owns and operates an investment advisory firm, Defendant McDermott Investment Advisors, LLC (“MIA”). (Doc. No. 57-1 ¶ 1.) From 2013 through 2014, Defendants purchased certain securities that bore transaction fees for MIA’s clients even though those clients were eligible to purchase identical securities for no fee. (Id. ¶ 92.)…
2Cases cited12 opinions
- Anderson v. Liberty Lobby, Inc.Supreme Court of the United States · 1986
- Matsushita Electric Industrial Co., Ltd. v. Zenith Radio CorporationSupreme Court of the United States · 1986
- Securities & Exchange Commission v. Capital Gains Research Bureau, Inc.Supreme Court of the United States · 1963
- Barry Belmont v. MB Investment Partners, Inc.Court of Appeals for the Third Circuit · 2013
- Durning v. First Boston Corp.Court of Appeals for the Ninth Circuit · 1987
7 more not listed; retrieve them via the Exa API.