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S.E.C. v. SOFTPOINT, INC.

No. 95 Civ. 2951(SS).

958 F.Supp. 846 (1997)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. SOFTPOINT, INC., Robert H. Cosby, Ronald G. Stoecklein, Remington Publications, Inc., and John W. Lane, Defendants.

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

March 20, 1997.

Attorney(s) appearing for the Case

United States Securities & Exchange Commission, Northeast Regional Office, New York City, Alexander M. Vasilescu, Jacqueline Abramson Zucker, for Plaintiff.

Wayne P. Jordan, New York City, for Defendant Ronald G. Stoecklein.

OPINION AND ORDER

SOTOMAYOR, District Judge.

Plaintiff, Securities & Exchange Commission ("SEC"), alleges, inter alia, that defendant Ronald G. Stoecklein ("Stoecklein") participated in the sale of unregistered common stock of Softpoint, Inc. ("Softpoint"), thereby violating the securities registration provisions of Sections 5(a) and (c) of the Securities Act of 1933 ("Securities Act"), 15 U.S.C. §§ 77e(a) and 77e(c). Plaintiff...

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