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S.E.C. v. K2 UNLIMITED, INC.

No. CA 11-11649-MLW.

15 F.Supp.3d 158 (2014)

SECURITIES and EXCHANGE COMMISSION, Plaintiff, v. K2 UNLIMITED, INC., 211 Ventures, LLC, Diane Glatfelter, Robert C. Rice, and Robert S. Anderson, Defendants.

United States District Court, D. Massachusetts.

Signed April 29, 2014.

Attorney(s) appearing for the Case

Deena R. Bernstein, U.S. Securities & Exchange Commission, Boston, MA, for Plaintiff.

Michael P. DeMarco, Law Office of Robert Walker, Westfield, MA, for Defendants.

MEMORANDUM AND ORDER

WOLF, D.J.

I. INTRODUCTION

The Securities and Exchange Commission (the "SEC") brought this suit against five defendants: K2 Unlimited, Inc. ("K2"); 211 Ventures LLC ("211 Ventures"); Diane Glatfelter ("Glatfelter"); Robert C. Rice ("Rice"); and Robert S. Anderson ("Anderson"). The Complaint alleges violations of the Securities Act, 15 U.S.C. § 77b et seq., and the Exchange Act, 15 U.S.C. § 78a et seq., arising...

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