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SECURITIES AND EXCHANGE COMMISSION v. LEK SECURITIES CORPORATION

No. 17cv1789 (DLC).

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. LEK SECURITIES CORPORATION, SAMUEL LEK, VALI MANAGEMENT PARTNERS d/b/a AVALON FA LTD, NATHAN FAYYER, and SERGEY PUSTELNIK a/k/a SERGE PUSTELNIK: Defendants.

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

November 5, 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

Securities and Exchange Commission, Plaintiff, represented by David J. Gottesman , U.S. Securities and Exchange Commission, Edward Barrett Atwood , Securities and Exchange Commission, Olivia S. Choe , Securities and Exchange Commission, pro hac vice & Sarah Nilson , Securities and Exchange Commission.

Vali Management Partners, doing business as Avalon Fa Ltd., Nathan Fayyer & Sergey Pustelnik, also known as Serge Pustelnik, Defendants, represented by James M. Wines , Law Office of James M. Wines & Steven Karl Barentzen , The Law Office of Steven Barentzen.

OPINION AND ORDER

The Securities and Exchange Commission ("SEC") moved in limine to prohibit defendants Avalon FA Ltd, Nathan Fayyer, and Sergey Pustelnik (the "Avalon Defendants") and their attorneys from presenting evidence of, or making any argument concerning, these defendants' reliance on any advice of...

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