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SEC v. AMBASSADOR ADVISORS, LLC

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

576 F.Supp.3d 250 (2021)

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

United States District Court, E.D. Pennsylvania.

Filed December 21, 2021.

Attorney(s) appearing for the Case

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

Donald N. David, Megan Admire, 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

Plaintiff has sued Defendants for violating the Investment Advisers Act of 1940 and a rule that the Securities and Exchange Commission promulgated under that statute. To prevail on their claims, Plaintiff must establish that Defendants violated the...

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