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S.E.C. v. COATES

No. 94 Civ. 5361(CBM).

137 F.Supp.2d 413 (2001)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. George J. COATES, individually and d/b/a Coates Precision Engineering, Ltd., Coates Enterprises, Ltd., Coates International Licensing Ltd., and George J. Coates 1991 Family Partnership, L.P., and Coates International, Ltd., Defendants.

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

April 6, 2001.

Attorney(s) appearing for the Case

George N. Stepaniuk, Securities and Exchange Commission, Northeast Regional Office, New York City, for Plaintiff.

William J. Wolf, Bathgate, Wegener & Wolf, P.C., Lakewood, NJ, for Defendants.

OPINION AND ORDER

MOTLEY, District Judge.

In this securities fraud action brought under the Securities Act of 1933 ("the Securities Act") and the Securities Exchange Act of 1934 ("the Exchange Act"), the Securities and Exchange Commission ("the Commission" or "the SEC") brings this motion for summary judgment seeking (i) a finding that George J. Coates ("Coates") violated Section 10(b) of the Exchange Act, 15 U.S.C. § 78j(b), and Rule 10b-5 thereunder...

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