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S.E.C. v. MATTESSICH

18 Civ. 5884 (KPF).

523 F.Supp.3d 624 (2021)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Adam MATTESSICH, Defendant.

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

Signed March 1, 2021.

Attorney(s) appearing for the Case

Philip Andrew Fortino, John O'Donnell Enright, Lee Attix Greenwood, Marc Peter Berger, U.S. Securities and Exchange Commission, New York, NY, for Plaintiff.

Denis Patrick Kelleher, Jr., Noam B. Greenspan, Talkin, Muccigrosso & Roberts LLP, Ramsey Hinkle, Clayman & Rosenberg LLP, New York, NY, for Defendant.

OPINION AND ORDER

Plaintiff Securities and Exchange Commission (the "SEC") brought this civil enforcement action against Defendants Adam Mattessich and Joseph Ludovico, two securities brokers formerly employed by Cantor Fitzgerald & Co. ("Cantor").1 Plaintiff alleges...

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