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SECURITIES AND EXCHANGE COMMISSION v. MATTESSICH

No. 18 Civ. 5884 (KPF).

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. ADAM MATTESSICH, Defendant.

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

November 15, 2022.

OPINION AND ORDER

Following a five-day jury trial, Adam Mattessich ("Defendant") was found liable for aiding and abetting violations of Section 17(a) of the Securities Exchange Act of 1934, 15 U.S.C. § 78q(a), and Rule 17a-3(a)(19) (the "Compensation Record Rule") promulgated thereunder. The...

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