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S.E.C. v. PENN

14-CV-0581 (VEC).

225 F.Supp.3d 225 (2016)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Lawrence E. PENN, III, et al., Defendants, and A Big House Film and Photography Studio, LLC, Relief Defendant.

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

Signed December 21, 2016.

Editors Note
Applicable Law: 15 U.S.C. § 78m(a)
Cause: 15 U.S.C. § 78m(a) Securities Exchange Act
Nature of Suit: 850 Securities / Commodities
Source: PACER

Attorney(s) appearing for the Case

Amelia Anne Cottrell , Andrew Matthew Calamari , Howard A. Fischer , Karen Elizabeth Willenken , Katherine Starr Bromberg , Michael Joseph Osnato, Jr. , U.S. Securities and Exchange Commission, New York, NY, for Plaintiff.

Edward Rodriguez , Law Office of Edward Rodriguez, PLLC, New York, NY, Ian Douglas Orr , Law Offices of Ian Douglas Orr, P.C., White Plains, NY, for Defendants.

Lawrence E. Penn, pro se.

MEMORANDUM OPINION & ORDER

The Securities and Exchange Commission ("SEC") filed this action against Defendant Lawrence E. Penn, III ("Penn") alleging that Penn misappropriated approximately $9 million from a hedge fund he managed. The SEC alleges violations of Section 10(b) of the Securities...

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