Cases

OPINION AND ORDER SHIRA A. SCHEINDLIN, District Judge. I. INTRODUCTION Several discovery disputes have arisen in the context of a large securities fraud ease brought by the Securities and Exchange Commission (“SEC”) against the Collins & Aikman Corporation (“C & A”) and a number of individual defendants. Specifically, defendant David A. Stockman — former CEO of C &am;

OPINION AND ORDER SHIRA A. SCHEINDLIN, District Judge. I. INTRODUCTION The Securities and Exchange Commission (“SEC”) brings suit against Samuel *550Wyly; Donald R. Miller, Jr. as the Independent Executor of the Will and Estate of Charles J. Wyly Jr. (Charles Wyly and, together with Samuel Wyly, the “Wylys”); the Wyly

524 F.Supp.2d 477 (2007) SECURITIES and EXCHANGE COMMISSION, Plaintiff, v. COLLINS & AIKMAN CORPORATION, David A. Stockman, J. Michael Stepp, Gerald E. Jones, David R. Cosgrove, Elkin B. McCallum, Paul C. Barnaba, John G. Galante, Christopher M. Williams, and Thomas V. Gougherty, Defendants. No. 07 Civ. 2419(SAS). United States District Court, S.D. New York. December 21, 20

OPINION AND ORDER SHIRA A. SCHEINDLIN, District Judge: I. INTRODUCTION In July 2010, the Securities and Exchange Commission (“SEC”) brought a securities enforcement action against Charles J. Wyly, Jr. and three other defendants. The action sought civil penalties, injunctive relief, and disgorgement against Charles Wyly. On August 7, 2011, Charles Wyly was killed in an automo

788 F.Supp.2d 92 (2011) SECURITIES and EXCHANGE COMMISSION, Plaintiff, v. Samuel WYLY, Charles J. Wyly, Jr., Michael C. French, and Louis J. Schaufele III, Defendants. No. 10 Civ. 5760 (SAS). United States District Court, S.D. New York. March 31, 2011. *95 Alan M. Lieberman, Esq., Gregory Nelson Miller, Esq., Cheryl J. Scarboro,

FOR PUBLICATION UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT THOMAS JOSEPH POWELL; No. 24-1899 BARRY D. ROMERIL; CHRISTOPHER A. NOVINGER; RAYMOND J. LUCIA; OPINION MARGUERITE CASSANDRA TOROIAN; GARY PRYOR; JOSEPH COLLINS; REX SCATES; MICHELLE SILVERSTEIN; REASON FOUNDATION; CAPE GAZETTE; NEW CIVIL LIBERTIES ALLIANCE, Petitioners, v. UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Respondent. On Pet

UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLUMBIA REVEREND FATHER EMMANUEL LEMELSON, Plaintiff, Civil Action No. 24 - 2415 (SLS) v. Judge Sparkle L. Sooknanan SECURITIES AND EXCHANGE COMMISSION, Defendant. MEMORANDUM OPINION The Revere

MEMORANDUM OPINION JOHN D. BATES, United States District Judge Before the Court are [10] and [11] cross-motions for summary judgment in this Freedom of Information Act (FOIA) case. Plaintiff Mitchell Stein is the subject of both a criminal and a civil judgment entered against .him related to various fraud and securities violations. He seeks records devel

Opinion for the Court filed by Senior Circuit Judge WILLIAMS. WILLIAMS, Senior Circuit Judge: The Securities and Exchange Commission found that Matthew J. Collins failed to supervise a subordinate who violated various securities laws. The SEC imposed a civil penalty of $310,000 under § 15(b)(4)(E) of the Exchange Act, among other sanctions. Collins petit

MEMORANDUM AND ORDER P. Kevin Castel, United States District Judge The Securities and Exchange Commission (“SEC”) brings this action for violations of the Securities Act of 1933 (“Securities Act”), the Securities and Exchange Act of 1934 (“Exchange Act”), .and the rules promulgated .thereunder, against New York Global Group (“NYGG”), a New York-based company, and several individual defendants. The SEC’s a

MEMORANDUM OPINION AND ORDER GREGORY H. WOODS, United States District Judge: The United States Securities and Exchange Commission (the “SEC”) alleges that Defendants Edward DiMaria and Matthew Gamsey orchestrated and executed a scheme to artificially inflate Bankrate, Inc.’s (“Bankrate”) revenues and understate expenses, so that Bankrate would meet certain financial targets in the second quarter of 2012. D

UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLUMBIA ______________________________ UNITED STATES SECURITIES AND ) EXCHANGE COMMISSION, ) ) Plaintiff, ) ) v. ) Civil Action No. 09-1423 (GK) ) ELAINE M. BROWN, et al., ) ) Defendants. ) ____________

JERRE S. WILLIAMS, Circuit Judge: George Carter, Walter Mooney, and Douglas Litchfield were convicted of criminal contempt of court under 18 U.S.C. § 401(3). They appeal, claiming that the injunctions they did not obey were ambigú*485ous and that their violations of the injunctions were not willful. We do not reach these claims, because we reverse on a critical issue

MEMORANDUM OPINION REGGIE B. WALTON, United States District Judge The plaintiff, the Loan Syndications and Trading Association, “a not-for-profit trade association representing members participating in the syndicated corporate loan market,” Plaintiffs Motion, for Summary Judgment (“Pl.’s Mot”), Exhibit (“Ex.”) A (Opening Brief of Petitioner (“Pet’r’s Br.”))

Dissenting opinion filed by Circuit Judge Kavanaugh. SRINIVASAN, Circuit Judge: The Securities and Exchange Commission found that Francis Lorenzo sent email messages to investors containing misrepresentations about key features of a securities offering. The Commission determined that Lorenzo’s conduct violated various securities-fraud provisions. We uphold the Commission’s findings that the statements in

MEMORANDUM AND ORDER P. KEVIN CASTEL, District Judge. The Securities and Exchange Commission (“SEC”) brings this action against William Landberg, Kevin Kramer, Steven Gould, Janis Barsuk, West End Financial Advisors LLC, West End Capital Management LLC, and Sentinal Investment Management Corporation, as defendants, and Louise Crandall and L/C Family Limited Partnership, as relief defendants.

740 F.Supp.2d 148 (2010) UNITED STATES SECURITIES and EXCHANGE COMMISSION, Plaintiff, v. Elaine M. BROWN, et al., Defendants. Civil Action No. 09-1423 (GK). United States District Court, District of Columbia. September 27, 2010. *153 Arthur Samuel Lowry, U.S. Securities & Exchange Commission, Washington, DC, for Plaintiff.

OPINION AND ORDER JED S. RAKOFF, District Judge. As a general matter, there’is nothing esoteric about insider trading. It is a form of cheating, of using purloined or embezzled information to gain an unfair trading advantage. The Unites States securities markets — the comparative honesty of which is one of our nation’s great business assets — cannot tolerate such cheating if those markets are to reta

ORDER GRANTING IN PART AND DENYING IN PART PLAINTIFF’S MOTION FOR SUMMARY JUDGMENT LUCY H. KOH, United States District Judge Before the Court is Plaintiff Securities and Exchange Commission’s (“Plaintiff’) motion for summary judgment against Barbra Alexander and Michael E, Swanson (collectively, “Defendants”). ECF No. 65, (“Mot.”).1 Defendants have not filed.

SEYMOUR, Circuit Judge. The Securities and Exchange Commission (“SEC”) brought this civil enforcement action against Defendant-Appellees Jeffory D. Shields, GeoDynamics, Inc. (“GeoDynamics”), and several other business entities affiliated with Mr. Shields, alleging securities fraud in connection with four oil and gas exploration and drilling ventures Mr. Shields, as managing par