| SEC Wins
Jury Verdict Against Mattessich For Fee
Splitting at Cantor Fitzgerald
By Matthew
Russell Lee, Patreon Maxwell
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BBC
- Guardian
UK - Honduras
- ESPN
SDNY COURTHOUSE,
Feb 16 – The US Securities and
Exchange Commission sued Adam
Mattessich, formerly of Cantor
Fitzgerald, for bypassing that
"firm's compensation-related
procedures designed to comply
with various tax and
regulatory requirements," or
so the SEC's complaint
said.
From February 9 to February
16, U.S. District Court for
the Southern District of New
York Judge Katherine Polk
Failla held a trial. Inner
City Press covered
it. On February 16, the jury
returned a verdict for the
SEC, with penalty / sanction
to follow. Watch this site.
Judge
Failla said that while they
had a trial date at the start
of February, SDNY Judge John
G. Koeltl has a trial at the
same time that he says will
likely not resolve
itself.
So Judge
Failla on January 25 floated
February 8, acknowledging that
she didn't know which
courtroom it would be in.
This, she said, is what it is
to be a judge these days,
trying to give parties a
trial.
On January
26 Judge Failla scheduled
another conference, and Inner
City Press again covered it.
Now the trial is nailed down:
February 1 in Courtroom 318 in
40 Foley Square. Judge Failla
noted that Judge Jesse M.
Furman had allowed a virtual
witness (Michael Avenatti
office manager Regnier, a
trial that Inner City Press is
also covering).
This case is
Securities and Exchange
Commission v. Mattessich et
al., 18-cv-5884 (Failla)
***
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