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S.E.C. v. RIEL

5:15-CV-1166 (MAD/DEP).

282 F.Supp.3d 499 (2017)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Charles RIEL, III and Reinvest, LLC, Defendants.

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

Signed September 27, 2017.

Editors Note
Applicable Law: 15 U.S.C. § 77
Cause: 15 U.S.C. § 77 Securities Fraud
Nature of Suit: 850 Securities / Commodities
Source: PACER

Attorney(s) appearing for the Case

U.S. SECURITIES & EXCHANGE COMMISSION, Brookfield Place, 4th Floor, 200 Vesey Street, New York, New York 10281, Attorneys for Plaintiff, OF COUNSEL: CHRISTOPHER M. CASTANO, ESQ., GEORGE STEPANIUK, ESQ., PREETHI KRISHNAMURTHY, ESQ.

CHARLES RIEL, III, 8723 Gaskin Road, Clay, New York 13041, Defendant pro se.

MEMORANDUM-DECISION AND ORDER

I. INTRODUCTION

On September 29, 2015, Plaintiff Securities and Exchange Commission ("SEC") commenced this action alleging that Defendants Charles Riel, III and Reinvest LLC, singly or in concert, directly or indirectly, violated Section 17(a) of the Securities...

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