Notable litigation filed during August 2023 includes: (1) SEC v. Rocha; (2) Legum v. Garfinkel, et al.; and (3) SEC v. Conn. Jr....more
Chan v. Anthony, et al. was filed in the District Court for Denver County, Colorado on March 1, 2022, asserting claims under the Colorado Securities Act for securities fraud, investment advisor fraud, unlicensed broker/dealer...more
SEC v. Fusion Hotel Mgmt. LLC, et al. was filed in the Southern District of California on December 14, 2021, claiming violations of the Securities Act of 1933 (“Securities Act”) and the Securities Exchange Act of 1934...more