8:25-cv-00492 Securities and Exchange Commission v. Gauntlet Holdings, LLC et al
Case Summary
In the case Securities and Exchange Commission v. Gauntlet Holdings, LLC et al, the SEC has brought a civil enforcement action against Gauntlet Holdings and associated parties. The matter involves allegations related to securities law violations, prompting regulatory scrutiny and litigation. A discovery hearing was held to address procedural and evidentiary issues concerning the exchange of information between the parties, which is a critical phase in preparing the case for potential trial or settlement.
Key Issues
- • Securities law compliance and violations
- • Discovery procedures and disputes
- • Regulatory enforcement by the SEC
- • Civil litigation process in securities cases
Case Timeline
9 events2:25-cv-00492 Stockwell v. Sumitomo Pharma America Inc
[Amended Complaint] (<a href="https://ecf.wawd.uscourts.gov/doc1/197112366472?caseid=346148&de_seq_num=94">28</a>)
1:24-cv-07362 Securities and Exchange Commission v. Zhabilov et al
[Memorandum of Law in Support of Motion] (<a href="https://ecf.nysd.uscourts.gov/doc1/127139423797?caseid=629075&de_seq_num=580">188</a>)
3:19-cv-04241 Securities And Exchange Commission v. Facebook, Inc.
[Status Report] (<a href="https://ecf.cand.uscourts.gov/doc1/035126998815?caseid=345245&de_seq_num=93">37</a>)
1:23-cv-05326 Securities and Exchange Commission v. Legend Venture Partners, LLC
[Notice (Other)] (<a href="https://ecf.nysd.uscourts.gov/doc1/127039422765?caseid=600924&de_seq_num=773">268</a>)
1:22-cv-09608 Securities and Exchange Commission v. Infinity Q Diversified Alpha Fund
[Memo Endorsement] (<a href="https://ecf.nysd.uscourts.gov/doc1/127139421464?caseid=589270&de_seq_num=527">210</a>)
1:22-cv-08368 Securities and Exchange Commission v. Lindell
[Memo Endorsement] (<a href="https://ecf.nysd.uscourts.gov/doc1/127139421464?caseid=587177&de_seq_num=122">36</a>)
8:25-cv-00492 Securities and Exchange Commission v. Gauntlet Holdings, LLC et al
[Discovery Hearing]
8:19-cv-00499 Securities and Exchange Commission v. Kent R.E. Whitney et al
[Dismiss Party] (<a href="https://ecf.cacd.uscourts.gov/doc1/031147498358?caseid=739795&de_seq_num=1154">423</a>)
2:24-cv-10745 Securities and Exchange Commission v. Historic Asset Placement Services Global, LLC et al
[Mail Returned] (<a href="https://ecf.cacd.uscourts.gov/doc1/031147497641?caseid=951205&de_seq_num=331">110</a>)
Press Coverage
2:25-cv-00492 Stockwell v. Sumitomo Pharma America Inc
[Amended Complaint] (<a href="https://ecf.wawd.uscourts.gov/doc1/197112366472?caseid=346148&de_seq_num=94">28</a>)
1:24-cv-07362 Securities and Exchange Commission v. Zhabilov et al
[Memorandum of Law in Support of Motion] (<a href="https://ecf.nysd.uscourts.gov/doc1/127139423797?caseid=629075&de_seq_num=580">188</a>)
3:19-cv-04241 Securities And Exchange Commission v. Facebook, Inc.
[Status Report] (<a href="https://ecf.cand.uscourts.gov/doc1/035126998815?caseid=345245&de_seq_num=93">37</a>)
1:23-cv-05326 Securities and Exchange Commission v. Legend Venture Partners, LLC
[Notice (Other)] (<a href="https://ecf.nysd.uscourts.gov/doc1/127039422765?caseid=600924&de_seq_num=773">268</a>)
1:22-cv-09608 Securities and Exchange Commission v. Infinity Q Diversified Alpha Fund
[Memo Endorsement] (<a href="https://ecf.nysd.uscourts.gov/doc1/127139421464?caseid=589270&de_seq_num=527">210</a>)
1:22-cv-08368 Securities and Exchange Commission v. Lindell
[Memo Endorsement] (<a href="https://ecf.nysd.uscourts.gov/doc1/127139421464?caseid=587177&de_seq_num=122">36</a>)
8:25-cv-00492 Securities and Exchange Commission v. Gauntlet Holdings, LLC et al
[Discovery Hearing]
8:19-cv-00499 Securities and Exchange Commission v. Kent R.E. Whitney et al
[Dismiss Party] (<a href="https://ecf.cacd.uscourts.gov/doc1/031147498358?caseid=739795&de_seq_num=1154">423</a>)
2:24-cv-10745 Securities and Exchange Commission v. Historic Asset Placement Services Global, LLC et al
[Mail Returned] (<a href="https://ecf.cacd.uscourts.gov/doc1/031147497641?caseid=951205&de_seq_num=331">110</a>)