This case was last updated from PACER on 09/04/2020 at 11:03:01 (UTC).

Securities and Exchange Commission v. Smith et al

Case Summary

On 07/06/2020 Securities and Exchange Commission filed a Finance - Security/Commodity/Exchange lawsuit against Smith. This case was filed in U.S. District Courts, Missouri Western District. The Judge overseeing this case is Brian C. Wimes. The case status is Disposed - Other Disposed.

Case Details Parties Documents Dockets

 

Case Details

  • Case Number:

    4:20-MC-09006

  • Filing Date:

    07/06/2020

  • Case Status:

    Disposed - Other Disposed

  • Case Type:

    Finance - Security/Commodity/Exchange

  • Courthouse:

    Missouri Western District

Judge Details

Presiding Judge

Brian C. Wimes

 

Party Details

Plaintiff

Securities and Exchange Commission

Defendants

Brenda Smith

Bristol Advisors, LLC

Broad Reach Capital, LP

Broad Reach Partners, LLC

Receiver

Kevin D Kent

Attorney/Law Firm Details

Plaintiff Attorneys

Scott A Thompson

Attorney at U.S. Securities and Exchange Commission

1617 Jfk Blvd., Suite 520

Philadelphia, PA 19103

Mark R Sylvester

Attorney at U.S. Securities and Exchange Commission

1617 Jfk Blvd., Suite 520

Philadelphia, PA 19103

Gibson L Kelly

Attorney at U.S. Securities and Exchange Commission

1617 Jfk Blvd., Suite 520

Philadelphia, PA 19103

John V. Donnelly III

Attorney at U.S. Securities and Exchange Commission

Receiver Attorney

Robin S Weiss

1500 Market Street, Suite 3900, Centre Square, West Tower

Philadelphia, PA 19102

 

Court Documents

#2

(#2) NOTICE of Filing of Complaint and Order Appointing Receiver Pursuant to 28 U.S.C. 754 by Kevin D Kent (Woods, Gloria) (Entered: 07/06/2020)

1 #6

Envelope

1 #5

Exhibit D

1 #4

Exhibit C

1 #3

Exhibit B

1 #2

Exhibit A

1 #1

Civil Cover Sheet

#1

(#1) MISCELLANEOUS CASE Filing fee $47, receipt number KCMO085062. (Attachments: #1 Civil Cover Sheet, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Envelope)(Woods, Gloria) (Entered: 07/06/2020)

 

Docket Entries

  • 07/06/2020
  • View Court Documents
  • Docket(#2) NOTICE of Filing of Complaint and Order Appointing Receiver Pursuant to 28 U.S.C. 754 by Kevin D Kent (Woods, Gloria) (Entered: 07/06/2020)

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  • 07/06/2020
  • View Court Documents
  • Docket(#1) MISCELLANEOUS CASE Filing fee $47, receipt number KCMO085062. (Attachments: #1 Civil Cover Sheet, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Envelope)(Woods, Gloria) (Entered: 07/06/2020)

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