SEC. AND EXCHANGE COMM. v. COMM. EQUITY SERVICES

Civil Action No. 1:19-cv-11655-IT.

718 F.Supp.3d 113 (2024)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. COMMONWEALTH EQUITY SERVICES, LLC, Defendant.

United States District Court, D. Massachusetts.

Signed February 23, 2024.


Attorney(s) appearing for the Case

Alfred A. Day, Richard Mann Harper, II, United States Securities and Exchange Commission, Boston, MA, for Plaintiff.

Elizabeth L. Davis, Pro Hac Vice, Stephen J. Crimmins, Thomas A. Ferrigno, I, Pro Hac Vice, Davis Wright Tremaine LLP, Washington, DC, Olga Greenberg, Rebekah Lee Whittington, Eversheds Sutherland (US) LLP, Atlanta, GA, for Defendant.

Andrew Mount, Clifford E. Kirsch, Eversheds Sutherland (US) LLP, New York, NY, Steven Lawrence Polk, Eversheds Sutherland (US) LLP, Atlanta, GA, Andrew R. Dennington, Conn Kavanaugh Rosenthal Peisch & Ford, LLP, Boston, MA, for Amicus Financial Services Institute, Inc.


MEMORANDUM & ORDER

The Securities and Exchange Commission ("SEC") brought suit against Commonwealth Equity Services, LLC ("Commonwealth") alleging that Commonwealth violated Sections 206(2) and 206(4) of the Investment Advisers Act of 1940 ("Advisers Act"). The court granted SEC's motion for partial summary...

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