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S.E.C. v. LEE

Nos. 08-CV-9961, 08-CV-9962, 09-CV-3677, 09-CV-7557.

720 F.Supp.2d 305 (2010)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. David LEE, Kevin P. Cassidy, Edward O'Connor, and Scott Connor, Defendants. Commodity Futures Trading Commission, Plaintiff, v. Kevin Cassidy, Edward O'Connor Optionable Inc., David Lee and Robert Moore, Defendants. CMEG NYMEX Inc., Plaintiff, v. Optionable Inc., Kevin Cassidy, Pierpont Capital, Inc., Edward O'Connor, Ridgecrest Capital Inc., and Mark Nordlicht, Defendants. Bank of Montreal, Plaintiff v. Optionable Inc., MF Global Inc., Kevin P. Cassidy, Edward J. O'Connor, Mark A. Nordlicht, Ryan B. Woodgate Scott Connor and Jospeh D. Saab, Defendants.

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

June 18, 2010.

Attorney(s) appearing for the Case

David Rosenfeld, Joseph O. Boryshansky, Brenda Wai Ming Chang, Scott Lawrence Black, Jess Anthony Velona, U.S. Securities and Exchange Commission, New York, NY, for Plaintiff.

Timothy Pierce Kebbe, Brunelle, Hadjikow & Weltz, P.C., Christopher L. Van De Water, Attorney General of the State of New York, Liam O'Brien, Marni Rae Robin, McCormick & O'Brien L.L.P., Michael J. McAllister, Satterlee Stephens Burke & Burke LLP, New York, NY Lawrence Robert Gelber, Brooklyn, NY, for Defendants.

Nicholas Stoloff Goldin, U.S. Attorney's Office, New York, NY, for Intervenor.

MEMORANDUM DECISION AND ORDER

GEORGE B. DANIELS, District Judge.

Introduction1

The Securities and Exchange Commission ("SEC"), Commodities Futures Trading Commission ("CFTC"), CME (as successor to the New York Mercantile Exchange) ("NYMEX") and the Bank of Montreal ("BMO") have each filed complaints stemming from an alleged fraudulent scheme perpetrated by...

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