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S.E.C. v. WILLIS

No. 91 Civ. 322 (WCC).

787 F.Supp. 58 (1992)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Robert H. WILLIS, Martin B. Sloate, Howard Kaye and Kenneth Stein, Defendants.

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

March 19, 1992.

Attorney(s) appearing for the Case

Richard H. Walker, Regional Adm'r, Robert B. Blackburn, Div. Enforcement, S.E.C., New York City (Edwin H. Nordlinger, Carmen J. Lawrence, Dorothy Heyl, Gregory J. Johnson, of counsel), for plaintiff.

Shereff, Friedman, Hoffman & Goodman (Andrew J. Levander, of counsel), and Hoffinger, Friedland, Dobrish, Bernfeld & Hasen (Jack S. Hoffinger, of counsel), New York City, for defendant Martin B. Sloate.

OPINION AND ORDER

WILLIAM C. CONNER, District Judge:

In this action, the Securities and Exchange Commission (the "SEC") charges defendant Martin B. Sloate ("Sloate") with violating Section 10(b) of the Securities Exchange Act, and Rule 10b-5 promulgated thereunder, under the misappropriation theory of liability. This matter is before the Court on the motion of defendant Sloate to reargue this Court's denial of his motion to dismiss the Complaint. Sloate...

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