Draft a legal brief to summarize a current or recent Complaint from the Securities & Exchange Commission (SEC) against an individual or organization for potential violation of either the Securities Act of 1933 and/or the Securities Exchange Act of 1934. A list of Complaints has been provided. You must select one of these Complaints to draft your Legal Brief. This brief will summarize the SEC Complaint into a succinct, yet still detailed, document that provides all the information needed to understand the complaint without needing to read the entire Complaint document.
The legal brief should include:
Title: This is the official name of the complaint and lists the plaintiff and the Defendant.
Issue(s): What issue or issues are being claimed within the complaint?
Rule(s): What laws or regulations are the Defendants being accused of violating?
Facts: These are the pertinent facts that are being provided to establish that the Defendant did indeed commit the infractions they are being accused of within the Complaint. This is a synthesizing of only the important facts and not a copy/paste of the Complaint.
Argument/Application: This section demonstrates through applying the facts that the Defendants did indeed commit the infractions.
Counter-argument: This section provides a counter-argument to the allegations by demonstrating, through the use of the listed facts, why the Defendants did not violate the laws/regulations.
Conclusion: This section will summarize how the facts have been argued to demonstrate violation of the stated laws/regulations and why any counter-arguments are insufficient.