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SEC v. AMBASSADOR ADVISORS, LLC

Civil No. 5:20-cv-02274-JMG.

576 F.Supp.3d 286 (2021)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. AMBASSADOR ADVISORS, LLC, et al., Defendants.

United States District Court, E.D. Pennsylvania.

Filed December 20, 2021.

Attorney(s) appearing for the Case

John T. Crutchlow, Michael S. Macko, Christopher Reynolds Kelly, Jennifer Chun Barry, U.S. Securities & Exchange Commission Philadelphia Regional Office, Philadelphia, PA, for Plaintiff.

Donald N. David, Megan Admire, Ashley B. Akapo, Pro Hac Vice, Joel S. Forman, Meghan K. Boland, Akerman LLP, New York, NY, Shawn M. Taylor, Jordan D. Mobley, Akerman LLP, Chicago, IL, Akivia P.A. Bassaragh, Akerman LLP, Miami, FL, for Defendants.

MEMORANDUM OPINION

I. OVERVIEW

Defendants Bostwick, Kauffman and Young own and operate Defendant Ambassador Advisors, an investment advisory firm. During the period at issue in this suit, their practice focused on investing their clients...

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