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SECURITIES AND EXCHANGE COMMISSION v. AMERICAN GROWTH FUNDING II, LLC

No. 16-CV-828 (KMW).

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. AMERICAN GROWTH FUNDING II, LLC, PORTFOLIO ADVISORS ALLIANCE, INC., RALPH C. JOHNSON, HOWARD J. ALLEN III, and KERRI L. WASSERMAN, Defendants.

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

March 29, 2018.

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

Securities and Exchange Commission, Plaintiff, represented by Alexander Mircea Vasilescu , U.S. Securities and Exchange Commission, John William Riordan Murray , Securities & Exchange Commission, Karen Michelle Lee , U.S. Securities and Exchange Commission, Richard S. Hong , U.S. Securities and Exchange Commission & Andrew Matthew Calamari , Securities & Exchange Commission.

Ralph C Johnson & American Growth Funding II, LLC, Defendants, represented by Mark J. Astarita , Sallah Astarita & Cox LLC.

Howard J Allen III, Kerri L Wasserman & Portfolio Advisors Alliance, Inc., Defendants, represented by Richard Alan Roth , The Roth Law Firm, PLLC & Jordan Michael Kam , The Roth Law Firm, PLLC.

OPINION & ORDER

Plaintiff Securities and Exchange Commission ("SEC") brings this Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Sections 17(a)(1), (2), and (3) of the Securities Act action against Defendants American Growth Funding II, LLC ("AGF II"), Portfolio...

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