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S.E.C. v. NUTMEG GROUP, LLC

No. 09-cv-1775.

162 F.Supp.3d 754 (2016)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. The NUTMEG GROUP, LLC, Randall Goulding, and David Goulding, Defendants, David Goulding, Inc., David Samuel, LLC, Financial Alchemy, LLC, Philly Financial, LLC, and Eric Irrgang, Relief Defendants.

United States District Court, N.D. Illinois, Eastern Division.

Signed February 18, 2016.

Attorney(s) appearing for the Case

Robert MacDonald Moye , Andrew Charles Shoenthal , Benjamin J. Hanauer , U.S. Securities & Exchange Commission, Stephen Novack , Timothy John Miller , Olivia Grace St. Clair , Rebekah Hava Parker , Novack and Macey LLP, Chicago, IL, for Plaintiff.

Randall Goulding, Deerfield, IL, pro se.

David Samuel Goulding, Madison, WI, pro se.

Fredrick Rahn Harbecke , Law Offices of Fred R. Harbecke, Alan M. Wolper , Ulmer & Berne, LLP, Jamie S. Franklin , The Franklin Law Firm LLC, Martin Wojslaw Jaszczuk , Locke Lord Bissell & Liddell LLP, Daryl M. Schumacher , Howard J. Rosenburg , Kopecky, Schumacher & Bleakley, PC, Chicago, IL, Randall S. Goulding , Law Offices of Randall S. Goulding & Associates, Deerfield, IL, for Defendants/Relief Defendants.

MEMORANDUM OPINION AND ORDER

Plaintiff Securities and Exchange Commission (the "SEC") sued three defendants — The Nutmeg Group, LLC ("Nutmeg"); Randall Goulding ("Randall"); and David Goulding ("David") — alleging violations of the Investment Advisers Act of 1940 (the "Advisers...

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