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S.E.C v. SIMPSON CAPITAL MANAGEMENT, INC.

No. 07 Civ. 6072CJGK).

586 F.Supp.2d 196 (2008)

SECURITIES and EXCHANGE COMMISSION Plaintiff, v. SIMPSON CAPITAL MANAGEMENT, INC., Robert A. Simpson and John C. Dowling, Defendants.

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

September 3, 2008.

Attorney(s) appearing for the Case

Brendan P. McGlynn, Daniel M. Hawke, David S. Horowitz, Elaine C. Greenburg, Jack C. Easton, Tami Scarola Stark, Scott A. Thompson, Philadelphia, PA, for Plaintiff.

Alan Levine, Celia Goldwag Barenholtz, Emma Terrell leitch, Jason Mark Koral, Cooley Godward Kronish LLP, Thomas Charney Rotko, Clayman & Rosenberg, New York City, for Defendants.

OPINION AND ORDER

JOHN G. KOELTL, District Judge.

This is a motion to dismiss a complaint brought by the Securities and Exchange Commission ("the SEC") alleging that the defendants Simpson Capital Management, Inc. ("Simpson Capital"), Robert A. Simpson and John C. Dowling violated Section 10(b) of the Securities Exchange Act of 1934 ("Exchange Act"), 15 U.S.C. § 78j (b), and Rule 10b-5 promulgated thereunder, 17 C.F.R. § 240.10b-5. The Complaint...

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