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SECURITIES AND EXCHANGE COMMISSION v. PENCE

No. 15 Civ. 7077 (GBD) (GWG).

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. STEPHEN B. PENCE, Defendant.

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

October 31, 2017.

Editors Note
Applicable Law: 15 U.S.C. § 78j(b)ss
Cause: 15 U.S.C. § 78j(b)ss Stockholder Suit
Nature of Suit: 850 Securities/Commodities
Source: PACER

Attorney(s) appearing for the Case

Securities and Exchange Commisison, Plaintiff, represented by Nicholas Alexander Pilgrim, U.S. Securities and Exchange Commission, pro hac vice.

Securities and Exchange Commisison, Plaintiff, represented by Andrew Matthew Calamari, Securities & Exchange Commissionm, Wendy Beth Tepperman, U.S. Securities and Exchange Commission & Mark Scott Germann. Securities & Exchange Commission

Stephen B Pence, Defendant, represented by Alan S. Lewis, Carter Ledyard & Milburn LLP.

Stephen B Pence, Defendant, represented by Madelyn Kempner White, Carter Ledyard & Milburn LLP & Michael Helmut Bauscher, Carter Ledyard & Milburn, LLP.

OPINION AND ORDER

The Securities and Exchange Commission ("SEC") has sued Stephen B. Pence for allegedly violating federal securities laws in connection with a scheme to defraud General Employment Enterprises, Inc. ("GEE") and its investors in 2009 and 2010. Both the SEC and...

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