Sztrom
Securities and Exchange Commission v. Sztrom
Opinion
Trial Court Opinion
UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF CALIFORNIA 13 SECURITIES AND EXCHANGE Case No.: 3:21-cv-00086-H-RBB
COMMISSION,
ORDER DENYING DEFENDANTS’
Plaintiff, MOTION TO DISMISS v. COMPLAINT
MICHAEL SZTROM, DAVID SZTROM,
[Doc. No. 9.] and SZTROM WEALTH MANAGEMENT, INC., Defendants. 21 On January 15, 2021, Plaintiff Securities and Exchange Commission (“SEC”) filed 22 a complaint against Defendants Michael Sztrom, David Sztrom, and Sztrom Wealth 23 Management, Inc. (“Defendants”). (Doc. No. 1, Compl.) On March 30, 2021, Defendants 24 filed a motion to dismiss the SEC’s complaint. (Doc. No. 9.) On May 3, 2021, the SEC 25 filed its opposition. (Doc. No. 10.) On May 10, 2021, Defendants filed their reply. (Doc. 26 No. 11.) On May 11, 2021, the Court took the matter under submission. (Doc. No. 12.) For 27 the reasons that follow, the Court denies Defendants’ motion to dismiss. 28 Background On…