Securities and Exchange Commission v. Competitve Technologies, Inc., et al.

Plaintiff Richard Kwak's Memorandum of Law in Support of Motion for Summary Judgment

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This Memorandum of Law in Support of Defendant's Motion for Summary Judgment addresses the issue of whether a broker can be held liable for manipulation where it is undisputed that all purchases occurred for legitimate customers on the open market and for the purpose of investing in the company; the broker placed orders pursuant to his clients' direction without discretion; and never sold the stock at the allegedly inflated prices allegedly created by the scheme - but, instead, continued to purchase the stock at the allegedly inflated prices.

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Reference Info:Legal Memoranda: Motions for Summary Judgment/Adjudication | Federal, 2nd Circuit, Connecticut | United States


DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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