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SEC v. NUTMEG GROUP, LLC

No. 09 C 1775.

SEC v. The Nutmeg Group, LLC, et al.

United States District Court, N.D. Illinois.

August 13, 2012.

STATEMENT

SHARON J. COLEMAN, Magistrate Judge.

Background

The SEC filed the complaint on March 23, 2009. This case involves the ongoing misappropriation of client assets, misrepresentations to investors, and failure to maintain required books and records by The Nutmeg Group, LLC ("Nutmeg"), by Randall Goulding, Nutmeg's owner and managing member, and by David Goulding, Nutmeg's Chief Compliance Officer.

Nutmeg acts as an investment adviser...

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