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S.E.C. v. SLOCUM, GORDON & CO.

C.A. No. 02-367L.

334 F.Supp.2d 144 (2004)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. SLOCUM, GORDON, & CO.; John J. Slocum, Jr.; and Jeffrey L. Gordon, Defendants.

United States District Court, D. Rhode Island.

September 28, 2004.

Attorney(s) appearing for the Case

Luke T. Cadigan, Esq., Dawn A. Edick, Esq., Frank Huntington, Esq., Beth Lehman, Esq., Ian D. Roffman, Esq., Boston, MA, for Plaintiff.

Deming E. Sherman, Esq., Patricia A. Sullivan, Esq., Annemarie M. Carney, Edwards & Angell, Providence, RI, for Defendants.

DECISION AND ORDER

LAGUEUX, Senior District Judge.

The Plaintiff in this case, the Securities and Exchange Commission ("SEC" or "Commission") brought a civil suit against the investment firm of Slocum, Gordon, & Co. ("SG & C") and its two founding partners, John J. Slocum, Jr. ("Slocum") and Jeffrey L. Gordon ("Gordon"). The Commission's chief allegation against these Defendants is that they defrauded both the SEC and their clients between...

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