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SEC v. WESTPORT CAPITAL MARKETS LLC

No. 3:17-cv-02064 (JAM).

408 F.Supp.3d 93 (2019)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. WESTPORT CAPITAL MARKETS LLC. et al., Defendants.

United States District Court, D. Connecticut.

Signed September 30, 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

Michael Christopher Moran , Kathleen Burdette Shields , Securities & Exchange Commission, Boston, MA, John B. Hughes , U.S. Attorney's Office, New Haven, CT, for Plaintiff,

Richard Levan , Pro Hac Vice, Levan Legal LLC, Jon-Jorge Aras , Bala Cynwyd , PA, Brian E. Spears , Joseph W. Martini , Spears Manning & Martini LLC, Southport, CT, Robert S. Hoff , Wiggin & Dana LLP, Stamford, CT, for Defendants.

ORDER GRANTING IN PART AND DENYING IN PART SEC'S MOTION FOR SUMMARY JUDGMENT

The Investment Advisers Act of 1940 was enacted "to achieve a high standard of business ethics in the securities industry." SEC v. Capital Gains Research Bureau, Inc., 375 U.S. 180

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