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SEC. AND EXCHANGE COMM. v. WESTPORT CAP. MARKETS

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

613 F.Supp.3d 643 (2020)

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

United States District Court, D. Connecticut.

Signed February 27, 2020.

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

Michael Christopher Moran, Kathleen Burdette Shields, U.S. Securities and Exchange Comm. Bos Boston Regional Office, Boston, MA, John B. Hughes, U.S. Attorney's Office, New Haven, CT, for Plaintiff.

Richard Levan, Pro Hac Vice, Levan Legal LLC, Jon-Jorge Aras, Bala Cynwyd, PA, Brian E. Spears, Joseph W. Martini, Spears Manning & Martini LLC, Southport, CT, for Defendants.

ORDER GRANTING IN PART AND DENYING IN PART PLAINTIFF SEC'S MOTION IN LIMINE TO PRECLUDE EVIDENCE REGARDING COMPLIANCE CONSULTANT

The Securities and Exchange Commission ("SEC") has sued Westport Capital Markets, LLC, and its owner and chief executive...

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