Securities and Exchange Commission v. American Growth Funding II, LLC et al, No. 1:2016cv00828 - Document 246 (S.D.N.Y. 2019)

Court Description: OPINION AND ORDER re: 210 MOTION in Limine filed by Kerri L Wasserman, Howard J Allen III, Portfolio Advisors Alliance, Inc., 215 SECOND MOTION in Limine to exclude and admit certain evidence filed by Securities and Exchange Commission. The Securities and Exchange Commission ("SEC" or "the Commission") sues American Growth Funding II and Ralph C. Johnson ("the AGF II Defendants") and Portfolio Advisors Alliance, Howard J. All en III, and Kerri L. Wasserman ("the PAA Defendants") for securities fraud under Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Sections 17(a)(1), (2), and (3) of the Securities Act. The AGF II Defendants have settled. (ECF Nos. 205, 206.) This Court's rulings on the remaining parties' motions in limine are stated below. The Court will resolve any further motions or objections as the evidence comes in at trial. This Order resolves docket numbers 210 and 215. SO ORDERED. (Signed by Judge Kimba M. Wood on 4/19/2019) (anc)