United States Second Circuit

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SEC v. Sourlis, 14-2301

In consolidated appeals, filed or reinstated following a remand for final resolution of pending claims in SEC v. Frohling, an enforcement action brought by the Securities and Exchange Commission (SEC) in connection with public offerings of unregistered shares of stock of defendant, the district court's judgment is affirmed, while the cross-appeal by the SEC is dismissed as moot.

Appellate Information

  • Argued
  • Submitted
  • Decided
  • Published 2016/12/06




  • United States Second Circuit


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