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SECURITIES AND EXCHANGE COMMISSION v. KAPLAN

Case No. 3:16-cv-00270-MMD-CBC.

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. DAVID B. KAPLAN, et al., Defendants, DEAN PROPERTIES, LLC, Respondent, and MATTHEW KAPLAN, Intervenor.

United States District Court, D. Nevada.

September 20, 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

Securities and Exchange Commission, Plaintiff, represented by Alyssa A. Qualls , U.S. Securities and Exchange Commission, Amy S. Cotter , U.S. Securities and Exchange Commission, Christy White , US Securities and Exchange Commission Division of Enforcement, Raven A. Winters , U.S. Securities and Exchange Commission & Shuman Sohrn , U.S. Securities & Exchange Commission Division of Enforcement.

Dean Properties, LLC, Respondent, represented by Kurt R. Bonds , ALVERSON TAYLOR & SANDERS & Matthew Pruitt , ALVERSON TAYLOR & SANDERS.

Matthew B. Kaplan, Intervenor, pro se.

ORDER

I. SUMMARY

The Securities and Exchange Commission ("SEC") brought this action for alleged violation of federal securities laws (ECF No. 1), and the Court ordered a temporary restraining order ("TRO") (ECF No. 13) and preliminary injunction (ECF No. 23), freezing defendants' assets. Dean...

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