Securities Enforcement Empirical Database (SEED)

Defendant Name: Andrew Murstein

Defendant Type: Individual

Legal Case Name SEC v. Medallion Financial Corp., Andrew Murstein, Lawrence Meyers, and Ichabod's Cranium, Inc.

First Document Date 29-Dec-2021

Initial Filing Format Civil Proceeding

Case Number 21-cv-11125

Allegation Type Issuer Reporting and Disclosure

Federal District Court New York, Southern District of New York

Current: Director—No Specific Position Named in Document at Medallion Financial Corp.
Current: President at Medallion Financial Corp.
Current: COO at Medallion Financial Corp.
Current: Founder at Medallion Financial Corp.

Exchange Act

• Sec 10(b) + Rule 10b-5

Securities Act

• Sec 17(a) (Not specified)

Other

• Rule 13b2-2 Exchange Act

Andrew Murstein is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.

Andrew Murstein is alleged to have aided and abetted Lawrence Meyers's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.

Andrew Murstein is alleged to have aided and abetted Ichabod's Cranium, Inc.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.

Andrew Murstein is alleged to have aided and abetted Medallion Financial Corp.'s violation of Rule 12b-20 of the Exchange Act.

Andrew Murstein is alleged to have aided and abetted Medallion Financial Corp.'s violation of Sec 13(a) of the Exchange Act.

Andrew Murstein is alleged to have aided and abetted Medallion Financial Corp.'s violation of Rule 13a-1 of the Exchange Act.

Andrew Murstein is alleged to have aided and abetted Medallion Financial Corp.'s violation of Rule 13a-11 of the Exchange Act.

Andrew Murstein is alleged to have aided and abetted Medallion Financial Corp.'s violation of Rule 13a-13 of the Exchange Act.

Andrew Murstein is alleged to have aided and abetted Medallion Financial Corp.'s violation of Sec 13(b)(2)(A) of the Exchange Act.

Andrew Murstein is alleged to have aided and abetted Medallion Financial Corp.'s violation of Sec 13(b)(2)(B) of the Exchange Act.

Andrew Murstein is alleged to have aided and abetted an unidentified individual or entity's violation of Section 17(b) Securities Act.

Andrew Murstein is alleged to have aided and abetted Lawrence Meyers's violation of Section 17(b) Securities Act.

Andrew Murstein is alleged to have aided and abetted Ichabod's Cranium, Inc.'s violation of Section 17(b) Securities Act.

First Resolution Date

Medallion Financial Corp.

Lawrence Meyers

Ichabod's Cranium, Inc.