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UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. PLACE

Civil Action No. 16-4291.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION, v. JOHN T. PLACE, PAUL G. KIRK, JOHN P. KIRK, GLOBAL TRANSITION SOLUTIONS, INC., and GLOBAL TRANSITION SOLUTIONS, LLC

United States District Court, E.D. Pennsylvania.

February 14, 2019.

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

Attorney(s) appearing for the Case

UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Plaintiff, represented by DANIEL J. MAHER , U.S. SECURITIES AND EXCHANGE COMMISSION, JENNIFER CHUN BARRY , U.S. SECURITIES & EXCHANGE COMMISSION PHILADELPHIA REGIONAL OFFICE, MELISSA JANE ARMSTRONG , US SECURITIES AND EXCHANGE COMMISSION & STEPHEN J. SCHLEGELMILCH , U.S. SEC & EXC COMMISSION.

JOHN T. PLACE, Defendant, pro se.

PAUL G. KIRK & JOHN P. KIRK, Defendants, represented by JON-JORGE ARAS , Levan Legal LLC & RICHARD A. LEVAN , LEVAN LEGAL LLC.

MEMORANDUM RE: MOTION FOR SUMMARY JUDGMENT

I. Introduction

In this case, the Securities and Exchange Commission ("SEC") alleges that the brokerage firms Global Transition Solutions, Inc. and Global Transition Solutions, LLC (together, "GTS"); John Kirk, GTS, LLC's President...

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