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


Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Sec 10(b) + Rule 10b-5
Securities Act
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.


First Resolution Date 30-Aug-2023
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

comp24511 24-Jun-2019 Complaint
court_doc48_19-cv-05895 21-Jul-2021 Complaint
Amended Complaint
court_doc106_19-cv-05895 30-Aug-2023 Court Docket Document
Final Judgment as to Defendant Donald S. LaGuardia Jr.

Other Defendants in Action:

Related Actions:

In the Matter of Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited