SECURITIES AND EXCHANGE COMMISSION, Plaintiff,
v.
McGINN, SMITH & CO., INC.; McGinn, Smith Advisors, LLC; McGinn, Smith Capital Holdings Corp.; First Advisory Income Notes, LLC; First Excelsior Income Notes, LLC; First Independent Income Notes, LLC; Third Albany Income Notes, LLC; Timothy M. McGinn; and David L. Smith, Defendants.
Lynn A. Smith, Relief Defendant.
David M. Wojeski, Trustee of David L. and Lynn A. Smith Irrevocable Trust U/A 9/04/04., Intervenor.
United States District Court, N.D. New York.https://leagle.com/images/logo.png
July 7, 2010.
July 7, 2010.
Attorney(s) appearing for the Case
David Stoelting, Esq., Andrew Calamari, Esq., Michael Paley, Esq., Kevin McGrath, Esq., Lara Mehreban, Esq., Linda Arnold, Esq., of Counsel, New York, NY, for Plaintiff, Securities and Exchange Commission.
William J. Brown, Esq., Buffalo, NY, Receiver for Corporate Defendants, Phillips Lytle LLP.
Greenberg Traurig, Michael L. Koenig, Esq., of Counsel, Albany, NY, for Defendants Timothy M. McGinn and David L. Smith.
Featherstonhaugh, Wiley & Clyne, LLP, James D. Featherstonhaugh, Esq., of Counsel, Albany, NY, for Relief Defendant.
Jill A. Dunn, Esq., Albany, NY, for Intervenor.
United States District Court, N.D. New York.
MEMORANDUM-DECISION AND ORDER
DAVID R. HOMER, United States Magistrate Judge.
Presently pending are the motions1 of (1) plaintiff Securities and Exchange Commission ("SEC") for a preliminary injunction freezing the assets of the defendants and of relief defendant2 Lynn A. Smith ("Lynn Smith") and granting related relief pending a final disposition of...
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