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

No. 85 Civ. 8585 (RO).

890 F.Supp. 1185 (1995)

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

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

June 19, 1995.

Attorney(s) appearing for the Case

S.E.C., Washington, DC (John L. Hunter, Mark Kreitman, Christian J. Mixter, Thomas C. Newkirk, Mark S. Radke, of counsel), for plaintiff S.E.C.

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

Nixon, Hargrave, Devans & Doyle, Rochester, NY (David M. Schraver, Everardo A. Rodriguez, Maxine Yi Hwa Lee, of counsel), for defendant Robert E. Brennan.

OPINION AND ORDER

OWEN, District Judge.

This civil action instituted by the Securities and Exchange Commission in 1985 was tried before me without a jury over some forty days in 1994. The amended complaint alleges that defendant First Jersey Securities, Inc., owned, operated and controlled by defendant Robert E. Brennan, realized illegal profits from excessive markups on sales from its inventory to its customers of the securities of three companies, Sovereign...

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