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S.E.C. v. PENN

14-CV-0581 (VEC).

225 F.Supp.3d 225 (2016)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Lawrence E. PENN, III, et al., Defendants, and A Big House Film and Photography Studio, LLC, Relief Defendant.

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

Signed December 21, 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

Amelia Anne Cottrell, Andrew Matthew Calamari, Howard A. Fischer, Karen Elizabeth Willenken, Katherine Starr Bromberg, Michael Joseph Osnato, Jr., U.S. Securities and Exchange Commission, New York, NY, for Plaintiff.

Edward Rodriguez, Law Office of Edward Rodriguez, PLLC, New York, NY, Ian Douglas Orr, Law Offices of Ian Douglas Orr, P.C., White Plains, NY, for Defendants.

Lawrence E. Penn, pro se.

MEMORANDUM OPINION & ORDER

The Securities and Exchange Commission ("SEC") filed this action against Defendant Lawrence E. Penn, III ("Penn") alleging that Penn misappropriated approximately $9 million from a hedge fund he managed. The SEC alleges violations of Section 10(b) of the Securities...

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