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S.E.C. v. FIRST JERSEY SECURITIES, INC.

No. 83 Civ. 483 (JES).

587 F.Supp. 535 (1984)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. FIRST JERSEY SECURITIES, INC., Robert E. Brennan, Robert Berkson, Defendants.

United States District Court, S.D. New York.

July 18, 1984.

Attorney(s) appearing for the Case

Donald N. Malawsky, Regional Adm'r, S.E.C., New York City, for plaintiff; Anne C. Flannery, Ralph Pernick, Paul Dutka, New York City, of counsel.

Robinson, Wayne, Levin, Riccio & La Sala, Newark, N.J., Tolins & Lowenfels, New York City, for defendants; Ronald J. Riccio, Newark, N.J., of counsel.

OPINION AND ORDER

SPRIZZO, District Judge:

Plaintiff, the Securities and Exchange Commission ("SEC"), commenced this action against defendants First Jersey Securities ("FJS"), its president, Robert E. Brennan, and Robert Berkson, an employee of FJS, attempting to enjoin certain alleged violations of the federal securities laws. FJS and Brennan answered and, in their first affirmative defense, asserted that the SEC was barred from prosecuting this action...

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