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S.E.C. v. KENTON CAPITAL, LTD.

Civil Action No. 95-0829(CKK).

69 F.Supp.2d 1 (1998)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. KENTON CAPITAL, LTD., Donald C. Wallace, Jeffrey E. Carter, Deltaur Partners, Harry Watson, Tracy L. French, and Terry Plack, Defendants, and Atlantic Pacific Guarantee Corporation and Charles Smith, Relief Defendants.

United States District Court, District of Columbia.

September 30, 1998.

Attorney(s) appearing for the Case

Larry P. Ellsworth, I, Securities & Exchange Commission, Division of Enforcement, Washington, DC, for Plaintiff.

Brian E. Maas, Ronald C. Minkoff, Beldock Levine & Hoffman, LLP, New York City, for Defendants.

Charles Smith, Santa Monica, CA, for Relief Defendants.

MEMORANDUM OPINION

KOLLAR-KOTELLY, District Judge.

This case involves alleged violations of the anti-fraud, securities registration, broker registration, and investment adviser registration provisions of the federal securities laws. The Securities and Exchange Commission ("SEC") filed an Amended Complaint stating five claims against Defendants Donald Wallace and Kenton Capital, LTD ("Kenton").1 The First Claim charges Defendants...

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