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SECURITIES AND EXCHANGE COMMISSION v. WESTPORT CAPITAL MARKETS LLC

No. 3:17-cv-02064 (JAM).

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. WESTPORT CAPITAL MARKETS LLC, et al., Defendants.

United States District Court, D. Connecticut.

September 30, 2019.

Editors Note
Applicable Law: 15 U.S.C. § 78m(a)
Cause: 15 U.S.C. § 78m(a) Securities Exchange Act
Nature of Suit: 850 Securities / Commodities
Source: PACER

Attorney(s) appearing for the Case

Securities and Exchange Commission, Plaintiff, represented by Michael Christopher Moran , Securities & Exchange Commission, John B. Hughes , U.S. Attorney's Office & Kathleen Burdette Shields , U. S. Securities and Exchange Comm. Bos.

Westport Capital Markets, LLC & Christopher E. McClure, Defendants, represented by Richard Levan , Levan Legal LLC, pro hac vice, Brian E. Spears , Spears Manning & Martini LLC, Jon-Jorge Aras , Jon-Jorge Aras & Joseph W. Martini , Spears Manning & Martini LLC.

ORDER DENYING MOTION TO DISMISS PRAYER FOR RELIEF IN FORM OF DISGORGEMENT REMEDY

The SEC has accused Westport Capital Markets, LLC, and its owner Christopher E. McClure of violating the Investment Advisers Act of 1940, 15 U.S.C. § 80b-1 et seq. Westport and McClure have moved to dismiss...

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