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Valicenti Advisory Services, Inc. v. SEC

198 F.3d 62 (1999), 530 UI.S. 1276 (2000)

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Valicenti Advisory Services, Inc. v. SEC

United States Court of Appeals for the Second Circuit
198 F.3d 62 (1999), 530 UI.S. 1276 (2000)

Facts

In 1993, the Securities and Exchange Commission (SEC) (plaintiff) brought an administrative action against Valicenti Advisory Services, Inc. (Valicenti) (defendant) for misleading potential investors with its marketing materials in violation of § 206 of the Investment Advisers Act. Through the action, the SEC found that Valicenti had inflated its rates of return in promotional materials distributed to potential clients. As a result of its findings, the SEC issued a cease and desist order, forcing Valicenti to take steps to comply with the federal securities laws it violated. Valicenti appealed the cease and desist order to the Second Circuit Court of Appeals.

Rule of Law

Issue

Holding and Reasoning (Per Curiam)

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