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S.E.C. v. MATTESSICH

No. 18 Civ. 5884 (KPF).

407 F.Supp.3d 264 (2019)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Adam MATTESSICH and Joseph Ludovico, Defendants.

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

Filed September 9, 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 Securities / Commodities
Source: PACER

Attorney(s) appearing for the Case

Philip Andrew Fortino , John O'Donnell Enright , Lee Attix Greenwood , Marc Peter Berger , United States Securities and Exchange Commission, New York, NY, for Plaintiff.

Denis Patrick Kelleher, Jr. , Ramsey Hinkle , Clayman & Rosenberg, New York, NY, for Defendant Adam Mattessich.

Stephen J. Crimmins , Murphy & McGonigle PC, Washington, DC, Sharon Anne O'Shaughnessy , Theodore A. Krebsbach , Murphy & McGonigle PC, New York, NY, for Defendant Joseph Ludovico.

OPINION AND ORDER

Plaintiff Securities and Exchange Commission (the "SEC") brought this civil enforcement action against Defendants Adam Mattessich and Joseph Ludovico (collectively, "Defendants"), two securities brokers formerly employed by Cantor Fitzgerald & Co. ("Cantor" or the "Firm"). The...

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