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U.S. Securities and Exchange Commission

U.S. SECURITIES AND EXCHANGE COMMISSION

Litigation Release No. 23437 / December 23, 2015

Securities and Exchange Commission v. In re Four Points Capital Partners LLC, Civil Action No. 15 Misc. 0415 (S.D.N.Y. December 23, 2015)

SEC Files Application to Enforce Commission Order

The United States Securities and Exchange Commission announced today that it filed a civil action pursuant to Section 21(e) of the Securities Exchange Act of 1934 seeking a court order requiring Four Points Capital Partners, LLC, a registered broker-dealer, to comply with a Commission order issued pursuant to Section 21(a)(1) of the Exchange Act, which required Four Points to file a statement in writing under oath concerning a matter being investigated.

The Commission also announced today that, subject to approval by the U.S. District Court, Four Points consented to the entry of an order requiring Four Points to comply with the Commission's Order.

The Commission is continuing its fact-finding investigation.

 

http://www.sec.gov/litigation/litreleases/2015/lr23437.htm


Modified: 12/23/2015