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S.E.C. v. LAGUARDIA

19-CV-5895 (ALC)(SDA).

679 F.Supp.3d 34 (2023)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Donald S. LAGUARDIA, Jr., Defendant, LR Global Frontier Master Fund Ltd., et al., Relief Defendants.

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

Signed June 29, 2023.

Attorney(s) appearing for the Case

Christopher John Dunnigan , Alison Conn , Judith Ann Weinstock , Marc Peter Berger , Securities and Exchange Commission U.S. Securities and Exchange Commission, New York, NY, for Plaintiff.

Jason C. Moreau , John A. Sten , Armstrong Teasdale LLP, Boston, MA, Mark Byrne Rosen , Pierce Atwood LLP, Portsmouth, NH, for Defendant.

Tucker H. Byrd , Tucker H. Byrd & Associates, P.A., Winter Park, FL, Thomas Charles Allison , Thomas C. Allison, P.A., Winter Park, FL, for Relief Defendants LR Global Frontier Master Fund Ltd., LR Global Frontier Fund Ltd. (offshore), LR Global Frontier Fund Ltd. (onshore).

OPINION AND ORDER

Plaintiff Securities and Exchange Commission ("S.E.C." or "Plaintiff") brings this action against Defendant Donald S. LaGuardia Jr. for violations of Section 17(a) of the Securities Act of 1933 (the "Securities Act") 15 U.S.C. § 77q(a), Section 10(b) of...

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