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S.E.C. v. ALDERSON

18-CV-4930 (VEC).

390 F.Supp.3d 470 (2019)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Benjamin ALDERSON, and Bradley Hamilton, Defendants.

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

Signed June 10, 2019.

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

Haimavathi Varadan Marlier, Jennifer Kathleen Vakiener, Michael Ellis, Marc Peter Berger, United States Securities and Exchange Commission, New York, NY, for Plaintiff.

Evan Wilson Bolla, Yonaton Aronoff, Correy Ann Kamin, Jonathan Andrew Harris, Harris, O'Brien, St. Laurent & Chaudhry LLP, Mark Landau, Amanda Beth Grannis, Kaplan Landau PLLC, New York, NY, for Defendants.

OPINION AND ORDER

The Securities and Exchange Commission ("SEC") accuses Defendants of violating Section 206 of the Investment Advisors Act of 1940 (codified at 15 U.S.C. § 80b-6) by, among other things, misrepresenting the tax consequences of an investment option...

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