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SECURITIES & EXCHANGE COM'N v. NADEL

11-CV-215 (WFK) (AKT).

206 F.Supp.3d 782 (2016)

SECURITIES & EXCHANGE COMMISSION, Plaintiff, v. Warren D. NADEL; Warren D. Nadel & Co.; and Registered Investment Advisers, LLC, Defendants, and Katherine Nadel, Relief Defendant.

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

Filed September 9, 2016.

Editors Note
Applicable Law: 15 U.S.C. § 77
Cause: 15 U.S.C. § 77 Securities Fraud
Nature of Suit: 850 Securities/Commodities
Source: PACER

Attorney(s) appearing for the Case

George S. Canellos , Jorge G. Tenreiro , Richard G. Primoff , Andrew M. Calamari , Maureen Peyton King , United States Securities and Exchange Commission, New York, NY, for Plaintiff.

Michelle N. Tanney , Paulina A. Stamatelos , Samuel Jay Lieberman , Sadis & Goldberg, LLP, New York, NY, for Defendants.

DECISION & ORDER

The Securities and Exchange Commission ("SEC") brought this action against Defendants Warren D. Nadel ("Nadel"), Warren D. Nadel & Co. ("WDNC"), and Registered Investment Advisers, LLC ("RIA") (collectively, "Defendants"), as well as Relief...

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