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

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
• Sec 10(b) + Rule 10b-5
Securities Act
• Sec 17(a) (Not specified)
Other
• 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
Headline Total Penalty and Disgorgement $741,991

Related Documents:

comp24511 24-Jun-2019 Complaint
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:

LR Global Frontier Master Fund Ltd.
LR Global Frontier Fund Ltd. (offshore)
LR Global Frontier Fund Ltd. (onshore)

Related Actions:

In the Matter of Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited
Northern Trust Hedge Fund Services LLC
Northern Trust Global Fund Services Cayman Limited
In the Matter of Donald S. LaGuardia, Jr.
Donald S. LaGuardia, Jr.