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U.S. S.E.C. v. STOKER

No. 11 Civ. 7388(JSR).

873 F.Supp.2d 605 (2012)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Brian STOKER, Defendant.

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

July 9, 2012.

Attorney(s) appearing for the Case

Andrew H. Feller, Jane Margaret Ellen Peterson, Jeffrey Thomas Infelise, Richard Edward Simpson, Securities and Exchange Commission, Washington, DC, for Plaintiff.

Brook Dooley, Caitlin Bales Noel, Daniel W. Gordon, Jan Nielsen Little, John W. Keker, Matan Shacham, Steven K. Taylor, San Francisco, CA, for Defendant.

MEMORANDUM ORDER

JED S. RAKOFF, District Judge.

In this securities fraud action, the SEC alleges that defendant Brian Stoker negligently violated Section 17(a)(2) & (3) of the Securities Act of 1933, 15 U.S.C. 77q(a)(2) & (3), in connection with his role in structuring and marketing a largely synthetic collateralized debt obligation ("CDO") called Class V Funding III ("the Fund"). Stoker now moves for summary judgment on both counts of the...

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