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S.E.C. v. STEPHENSON

No. 88 Civ. 3303(JES).

720 F.Supp. 370 (1989)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Ann STEPHENSON, Frederick Strasburg, Richard Strasburg, and Sentra Securities Corporation, Defendants.

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

September 26, 1989.

Attorney(s) appearing for the Case

Thomas C. Newkirk, David E. Dearing, Stephen M. DeTore, John H. Walsh, Washington, D.C., for plaintiff.

Jones, Bell Simpson & Abbott, Los Angeles, Cal. (Craig R. Bockman, of counsel), Brown & Wood, New York City (James K. Manning, of counsel), for defendant Sentra Securities Corp.

MEMORANDUM OPINION AND ORDER

SPRIZZO, District Judge:

Plaintiff Securities and Exchange Commission ("SEC") brings this action under section 10(b) of the Exchange Act of 1934, 15 U.S.C. § 78j(b), Rule 10b-5, 17 C.F.R. § 240.10b-5, and 15 U.S.C. §§ 78a et seq., 78d & 78aa to enjoin future violation of the securities laws and to obtain disgorgement of the profits obtained through those violations. The SEC has moved for summary judgment...

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