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S.E.C. v. LORIN

No. 90 Civ. 7461 (HB).

869 F.Supp. 1117 (1994)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Henry W. LORIN, Eugene K. Laff, Stanley Aslanian, Jr., Capital Shares, Inc., Lawrence Caito, Toni Vallen, Rosario Russell Ruggiero, Enn Kunnapas, Paul L. Miano, and Edward J. Barter, Defendants.

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

November 21, 1994.

Attorney(s) appearing for the Case

Thomas V. Sjoblom, Washington, DC, for plaintiff S.E.C.

Paul K. Rooney, New York City, for defendants Capital Shares, Inc. and Lawrence Caito.

Defendant Eugene K. Laff, pro se.

OPINION AND ORDER

BAER, District Judge.

On November 20, 1990, the Securities and Exchange Commission ("SEC") brought this civil injunctive action pursuant to section 20(b) of the Securities Act of 1933 ("Securities Act"), 15 U.S.C. § 77t(b) (1988), and section 21(d) of the Securities and Exchange Act of 1934 ("Exchange Act"), 15 U.S.C. § 78u(d) (Supp.1993). The complaint alleges, in relevant part, that defendants Capital Shares, Inc. ("Capital...

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