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SECURITIES AND EXCHANGE COM'N v. HASHO

No. 90 Civ. 7953.

784 F.Supp. 1059 (1992)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Robert HASHO, Benjamin M. Hasho, William X. Mecca, Robert B. Yule, Kevin B. Sullivan, David C. Dever, Richard A. Chennisi, Aurelio Vuono, Philip Falcone, and Michael F. Umbro, Defendants.

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

February 13, 1992.

Attorney(s) appearing for the Case

Edwin H. Nordlinger, Deputy Regional Adm'r, New York City, (Jeffrey Plotkin, Allen Meyer, David Miller, of counsel), for plaintiff Securities and Exchange Com'n.

Caruso & Caruso, Brooklyn, N.Y. (Steven B. Caruso, of counsel), for defendants Benjamin M. Hasho, William X. Mecca and Robert B. Yule.

Kurzman Karelson & Frank, New York City (Kenneth I. Wirfel, of counsel), for defendant Aurelio Vuono.

OPINION AND ORDER

EDELSTEIN, District Judge:

On December 13, 1990, the Securities and Exchange Commission (the "SEC") filed its complaint in this action alleging that defendants, ten registered representatives, engaged in unlawful high pressure sales of small highly speculative stocks, sometimes referred to in Wall Street parlance as "dogs," to unwary customers and caused trades to be entered in customer accounts without customer authorization. The SEC alleges...

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