Securities and Exchange Commission v. Southridge Capital Management, LLC et al
Plaintiff: Securities and Exchange Commission
Defendant: Southridge Capital Management, LLC, Southridge Advisors LLC and Stephen M. Hicks
Case Number: 3:2010cv01685
Filed: October 25, 2010
Court: US District Court for the District of Connecticut
Office: New Haven Office
County: Fairfield
Presiding Judge: Robert N. Chatigny
Nature of Suit: Securities/Commodities/Exchanges
Cause of Action: 15 U.S.C. ยง 77
Jury Demanded By: Plaintiff

Available Case Documents

The following documents for this case are available for you to view or download:

Date Filed Document Text
September 30, 2021 Opinion or Order Filing 274 ORDER denying 187 Motion for Reconsideration. See attached ruling and order for details. Signed by Judge Robert N. Chatigny on 9/30/2021. (Salah, Madeleine)
May 6, 2013 Opinion or Order Filing 92 ORDER granting 65 Motion to Compel; granting 70 Motion to Compel. Signed by Judge Donna F. Martinez on 5/6/13. Responses to requests for admissions due 5/20/13. Rule 30(b)(6) testimony due 6/5/13. Signed by Judge Donna F. Martinez on 5/6/13. (Nichols, J.)
October 9, 2012 Opinion or Order Filing 54 ORDER denying 33 Motion to Compel. Signed by Judge Donna F. Martinez on 10/9/12. (Nichols, J.)
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Plaintiff: Securities and Exchange Commission
Represented By: Martin F. Healey
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Defendant: Southridge Capital Management, LLC
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Defendant: Southridge Advisors LLC
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Defendant: Stephen M. Hicks
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