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SEC. AND EXCHANGE COMM. v. CAPWEALTH ADVISERS

NO. 3:20-cv-01064.

599 F.Supp.3d 693 (2022)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. CAPWEALTH ADVISERS, LLC, et al., Defendants.

United States District Court, M.D. Tennessee, Nashville Division.

Filed April 21, 2022.

Attorney(s) appearing for the Case

Harry B. Roback , Kristin W. Murnahan , Madison Graham Loomis , Securities and Exchange Commission, Atlanta, GA, for Plaintiff.

Bradley J. Bondi , Washington, DC, Eric W. Smith , Eugene N. Bulso, Jr. , Bulso PLC, Brentwood, TN, Sara E. Ortiz , New York, NY, for Defendant CapWealth Advisors, LLC.

Eric W. Smith , Eugene N. Bulso, Jr. , Bulso PLC, Brentwood, TN, for Defendants Timothy J. Pagliara, Timothy R. Murphy.

MEMORANDUM OPINION

The SEC brought this action against CapWealth Advisers, Timothy Pagliara, and Timothy Murphy ("Defendants") for alleged violations of the Investment Advisers Act of 1940 ("Advisers...

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