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S.E.C. v. THOMPSON

14-cv-9126 (KBF).

238 F.Supp.3d 575 (2017)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Anthony J. THOMPSON, Jr., Jay Fung, and Eric Van Nguyen, Defendants, and John Babikian and Kendall Thompson, Relief Defendants, New York County District Attorney, Intervenor.

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

Signed March 2, 2017.

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

Andrew Matthew Calamari , Howard A. Fischer , Thomas Peter Smith , Securities & Exchange Commission, New York, NY, for Plaintiff.

Maranda E. Fritz , Thompson Hine LLP, New York, NY, Mark J. Astarita , Sallah Astarita & Cox LLC, New Jersey, NJ, for Defendants.

OPINION & ORDER

This is an enforcement action brought by the New York office of the Securities and Exchange Commission ("SEC") against defendants Anthony J. Thompson Jr., Jay Fung and Eric Van Nguyen — three alleged penny stock promoters — and three relief defendants...

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