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S.E.C. v. OXFORD CAPITAL SECURITIES, INC.

No. 92 Civ. 935 (WCC).

794 F.Supp. 104 (1992)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. OXFORD CAPITAL SECURITIES, INC., Oxford Consolidated Corporation, James A. Sehn, Samuel O. Forson, Leonard C. Donner, and Guillermo P. Tolosa, a/k/a Willie Tolosa, Defendants.

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

May 21, 1992.

Attorney(s) appearing for the Case

Richard H. Walker, Regional Adm'r, New York City (Edwin H. Nordlinger, Carmen J. Lawrence, Robert B. Blackburn, Amy C. Reich, Martin L. Feinberg and David A. Barnett, of counsel), for plaintiff S.E.C.

Howard D. Stave, Forest Hills, for defendant Leonard C. Donner.

Noah Lipman, New York City, for defendants Oxford Capital Securities, Inc., Oxford Consol. Corp., James A. Sehn, Samuel O. Forson and Guillermo P. Tolosa a/k/a Willie Tolosa.

OPINION AND ORDER

WILLIAM C. CONNER, District Judge.

This action was brought by the Securities and Exchange Commission (the "Commission") on February 6, 1992 against defendants Oxford Capital Securities, Inc. ("Oxford Capital"), Oxford Consolidated Corporation ("Oxford Consolidated"), James A. Sehn, Samuel O. Forson, Leonard C. Donner, and Guillermo P. Tolosa, charging violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 [15 U.S.C....

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