Defendant Name:
Donald S. LaGuardia, Jr.
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Donald S. LaGuardia, Jr.
First Document Date
24-Jun-2019
Initial Filing Format
Civil Proceeding
Case Number
19-cv-05895
Allegation Type
Investment Advisers/Investment Companies
Federal District Court
New York, Southern District of New York
Affiliations
- Former: CEO at L-R Managers, LLC
- Current: Manager at LR Global Frontier Master Fund Ltd.
- Current: Manager at LR Global Frontier Fund Ltd. (offshore)
- Current: Manager at LR Global Frontier Fund Ltd. (onshore)
- Current: Founder at L-R Managers, LLC
- Former: Managing Principals at L-R Managers, LLC
Violations Alleged
•
Sec 17(a) (Not specified)
•
Sections 206(1), 206(2), 206(4) Advisers Act; Rule 206(4)-8 Advisers Act
Related Violations Alleged
Donald S. LaGuardia, Jr. is alleged to have controlled L-R Managers, LLC's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Resolutions
First Resolution Date
30-Aug-2023
Other Defendants in Action:
