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S.E.C. v. CONSTANTIN

No. 11 Cv. 4642(MHD).

939 F.Supp.2d 288 (2013)

SECURITIES and EXCHANGE COMMISSION, Plaintiff, v. Joshua CONSTANTIN et al., Defendants.

United States District Court, S.D. New York.

April 2, 2013.

Attorney(s) appearing for the Case

George S. Canellos , Preethi Krishnamurthy , Barry Antoine Kamar , Wendy Beth Tepperman, Securities & Exchange Commission, New York, NY, for Plaintiff.

James Kousouros , Law Office of James Kousouros, New York, NY, Jenny D. Johnson-Sardella , Leser Hunter Taubman & Taubman, PLLC, Coral Gables, FL, for Defendants.

MEMORANDUM & ORDER

MICHAEL H. DOLINGER, United States Magistrate Judge.

The Securities and Exchange Commission ("SEC") brought this civil enforcement action against defendants Joshua Constantin, Brian Solomon, and Windham Securities, Inc.,1 alleging that the defendant broker-dealers misled clients about their professional experience and qualifications, misappropriated client funds, and knowingly prepared false account...

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