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U.S. S.E.C. v. KELLY

No. 07 C 4979.

545 F.Supp.2d 808 (2008)

UNITED STATES SECURITIES and EXCHANGE COMMISSION, Plaintiff, v. Michael E. KELLY; Michael P. Kelly; Donald L. Kelly; John L. Corwin; Corporative Nola, S.A. De C.V.; Resort Holding International (Rhi) S.A.; Panorama Communities, S.A.; World Phantasy Tours, Inc. (Viajes Y Fantasia Por El Mundo, S.A.), Also d/b/a Majesty Travel; Galaxy Properties Management, S.A.; Yucatan Resorts, S.A. De C.V.; Resort Holdings International, S.A. De C.V.; Mark Ruttenberg; Ruttenberg & Associates Financial Marketing, Inc.; Mark G. Meyer; Mark Meyer & Associates, Inc.; Richard E. Riner; Southwest Income Marketing, Inc.; George Phelps, Also d/b/a Safe Estate Plans; John E. Tencza, Also d/b/a American Investment Management Group, Inc.; American Elder Group, L.L.C.; Carl Q. Lee; Carl Lee and Associates, Inc.; Roy D. Higgs; Warrent T. Chambers; William K. Boston, Jr.; Centuary Estate Planning, Inc., Defendants, and Avanti Motor Corp and DMK Properties, L.L.C., Relief Defendants.

United States District Court, N.D. Illinois, Eastern Division.

April 8, 2008.

Attorney(s) appearing for the Case

Steven Justin Levine, John J. Sikora, Jr., Kristopher S. Heston, Securities & Exchange Com'n, Chicago, IL, for plaintiff.

Ronald P. Kane, Thomas Andrew Volz, Kane & Fischer, Ltd., Chicago, IL, for Michael E. Kelly, Avanti Motor Corp., DMK Properties, LLC, defendants.

James L. Kopecky, John Joseph Lynch, James L. Kopecky, P.C., Chicago, IL, for Mark Ruttenberg, defendant.

Thomas J. Dillon, Timothy Joseph Somen, McFadden & Dillon, Chicago, IL, Gary M. Derer, Law Offices of Gary J. Derer, Richardson, TX, for Mark G. Meyer, Meyer & Associates, Inc. Carl Q. Lee, Carl Lee and Associates, Inc. Warrant T. Chambers, William K. Boston, Jr., Century Estate Planning, Inc., defendants.

Robert Edwin Tonn, Simon B. Auerbach, Holland and Knight, LLP, Chicago, IL, for George Phelps, defendant.

MEMORANDUM OPINION AND ORDER

ELAINE E. BUCKLO, District Judge.

Defendant Mark Ruttenberg has moved to dismiss counts I, II, III, VIII, and IX of the complaint filed by plaintiff the United States Securities and Exchange Commission ("SEC"). These counts allege Ruttenberg violated section 17(a)(1) of the Securities Act, 15 U.S.C. § 77q(a)(1) (count I); section 17(a)(2) and (a)(3) of the Securities Act, 15 U.S.C. §§ 77q(a)(2) and (a)(3) (count...

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