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SECS. AND EXCH. COMMN. v. CITY OF ROCHESTER, N.Y.

6:22-CV-06273 EAW.

731 F.Supp.3d 455 (2024)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. CITY OF ROCHESTER, NEW YORK, Rosiland Brooks-Harris, Capital Markets Advisors, LLC, Richard Ganci, and Richard Tortora, Defendants.

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

Signed April 15, 2024.

Attorney(s) appearing for the Case

Daniel J. Maher, Eugene Hansen, U.S. Securities & Exchange Commission, Washington, DC, for Plaintiff.

Brian Marc Feldman, Laura Kelley Schwalbe, Sheila A. Baynes, Aurelian Law PLLC, Rochester, NY, for Defendants City of Rochester, New York, Rosiland Brooks-Harris.

Robert N. Knuts, Pro Hac Vice, Kathryn Elise Ghotbi, Sher Tremonte LLP, New York, NY, for Defendants Capital Markets Advisors, LLC, Richard Ganci, Richard Tortora.

DECISION AND ORDER

INTRODUCTION

Plaintiff the Securities and Exchange Commission ("SEC") brings this civil enforcement action against the City of Rochester, the City's former financial director, Rosiland Brooks-Harris and its municipal advisors, Capital Market Advisors...

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