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S.E.C. v. NADEL

No. 11-CV-215 (WFK)(AKT).

97 F.Supp.3d 117 (2015)

SECURITIES & EXCHANGE COMMISSION, Plaintiff, v. Warren D. NADEL; Warren D. Nadel & Co.; and Registered Investment Advisers, LLC, Defendants, and Katherine Nadel, Relief Defendant.

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

Filed March 31, 2015.

Attorney(s) appearing for the Case

George S. Canellos, Andrew M. Calamari, Maureen Peyton King, Richard G. Primoff, United States Securities and Exchange Commission, New York, NY, for Plaintiff.

Paulina A. Stamatelos, Samuel Jay Lieberman, Sadis & Goldberg LLP, New York, NY, for Defendants.

DECISION & ORDER

The Securities and Exchange Commission ("SEC") brings this action against Defendants Warren D. Nadel ("Nadel"), Warren D. Nadel & Co. ("WDNC"), and Registered Investment Advisers, LLC ("RIA") (collectively "Defendants"), and Relief Defendant Katherine Nadel. The SEC...

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