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S.E.C. v. HOLD BROTHERS ON-LINE INV. SERVICES LLC

14-07286 (KSH) (CLW).

216 F.Supp.3d 422 (2016)

SECURITIES AND EXCHANGE COMMISSION, Petitioner, v. HOLD BROTHERS ON-LINE INVESTMENT SERVICES LLC, now known as Tafferer Trading, LLC; Gregory Hold; and Steven Hold, Respondents.

United States District Court, D. New Jersey.

Signed October 24, 2016.

Editors Note
Applicable Law: 15 U.S.C. § 78m(a)
Cause: 15 U.S.C. § 78m(a) Securities Exchange Act
Nature of Suit: 850 Securities / Commodities
Source: PACER

Attorney(s) appearing for the Case

Andrew M. Calamari, John J. Graubard, Preethi Krishnamurthy, Elizabeth Ann Butler, Vanessa Stich De Simone, U.S. Securities & Exchange Commission, New York, NY, for Petitioner.

Marlen Kruzhkov, Gusrae Kaplan Bruno & Nusbaum PLLC, Matthew Brian Baum, Sarah Yeang Khurana, Gusrae Kaplan Nusbaum PLLC, New York, NY, for Respondents.

OPINION AND ORDER

I. Background

On November 11, 2014, petitioner Securities and Exchange Commission ("SEC") filed an application (D.E. 1) to enforce compliance by Hold Brothers On-Line Investment Services, LLC ("HBOLIS") with an SEC consent order (the "Consent Order") requiring...

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