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U.S. v. OAKFORD CORP.

No. S2 98CR144 (JSR).

64 F.Supp.2d 295 (1999)

UNITED STATES of America, v. The OAKFORD CORPORATION, William Killeen, Thomas Bock, John R. D'Alessio, Thomas J. Cavallino, Edward J. Mueger, John Saverese, and Mark Saverese, Defendants.

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

September 8, 1999.

Attorney(s) appearing for the Case

Douglas R. Jensen, United States Attorney's Office, S.D.N.Y., New York City, for the Government.

Richard Greenberg, Gustave Newman, Newman Schwartz & Greenberg, New York City, for Oakland Corp., William S. Killeen.

Francis Murray, Murray & McCann, Rockville Center, NY, for Thomas W. Brock.

Dominic F. Amorosa, New York City, for John D'Alessio,

Victor J. Rocco, Gordon Altman Butowsky Weitzen Shalov & Wein, New York City, for Thomas J. Cavallino.

Michael Armstrong, Kirkpatrick & Lockhart, L.L.P., New York City, for Edward Mueger.

Benjamin Brafman, Brafman, Gilbert & Ross, P.C., New York City, for John J. Savarese.

Robert Katzberg, Kaplan & Katzberg, New York City, for Mark Savarese.

MEMORANDUM ORDER

RAKOFF, District Judge.

In order to prevent floor brokers on the New York Stock Exchange from taking unfair advantage of their specialized position, federal law prohibits such brokers from effecting securities transactions for their own account, an account in which they have a financial interest, or an account as to which they exercise investment discretion. See 15 U.S.C. § 78k(a) and various rules and regulations promulgated...

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