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

No. 85 Civ. 8585(RO).

876 F.Supp. 488 (1994)

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

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

April 28, 1994.

Attorney(s) appearing for the Case

Christian J. Mixter, Mark Kreitman and Mark Radke, S.E.C., Washington, DC, for plaintiff S.E.C.

W. Hunt Dumont, John B. Livelli, Robinson, St. John & Wayne, Newark, NJ, for defendant First Jersey Securities, Inc.

David M. Schraver, Nixon, Hargrave, Devans & Doyle, Rochester, NY, for defendant Robert Brennan.

MEMORANDUM

OWEN, District Judge.

Defendant Brennan moves for partial judgment contending that the SEC may not rely on § 20(a) of the Securities Exchange Act of 1934, 15 U.S.C. § 78t(a), in bringing an enforcement action to enjoin a practice which it considers violative of the Act.

Section 20(a) provides as follows: "Every person who, directly or indirectly, controls any person liable under any provision of this title or of any rule...

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