SEC v. Sargent
Plaintiff: US SECURITIES & EXCHANGE COMMISSION
Defendant: HENRY B. SARGENT, FREDERICK M. MINTZ, ALAN FRAADE, JOSEPH J. TOMASEK and PATRICK GIORDANO
Case Number: 26-1667
Filed: June 11, 2026
Court: U.S. Court of Appeals, First Circuit
Nature of Suit: Securities/Commodities/Exchange
Docket Report

This docket was last retrieved on June 16, 2026. A more recent docket listing may be available from PACER.

Date Filed Document Text
June 16, 2026 NOTICE of appearance on behalf of Appellee SEC filed by Attorney Paul G. Alvarez. Served on 06/16/2026. [26-1667] (PGA) [Entered: 06/16/2026 09:16 AM]
June 15, 2026 CIVIL CASE docketed. Notice of appeal (doc. #386) filed by Appellant Henry B. Sargent. Appearance form due 06/29/2026. Docketing Statement due 06/29/2026. Transcript Report/Order form due 06/29/2026. [26-1667] (GRC) [Entered: 06/15/2026 05:49 PM]

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Plaintiff: US SECURITIES & EXCHANGE COMMISSION
Represented By: Daniel Staroselsky
Represented By: Donald Campbell Lockhart
Represented By: Tracey A. Hardin
Represented By: David D'Addio
Represented By: Paul Gerard Alvarez
Represented By: Jonathan R. Allen
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Defendant: HENRY B. SARGENT
Represented By: Christopher Roesch Neff
Represented By: Peter R. Ginsberg
Represented By: Joseph James Balliro Jr.
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Defendant: FREDERICK M. MINTZ
Represented By: Frederick M. Mintz
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Defendant: ALAN FRAADE
Represented By: Alan Fraade
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Defendant: JOSEPH J. TOMASEK
Represented By: John A. Sten
Represented By: Jason C. Moreau
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Defendant: PATRICK GIORDANO
Represented By: Timothy M. Cornell
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