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SZULIK v. TAGLIAFERRI

No. 12 Civ. 1827(PKC).

966 F.Supp.2d 339 (2013)

Matthew J. SZULIK, Kyle M. Szulik, and Michael Colleary, in his capacity as trustee of the Raymond W. Szulik Revocable Trust dated December 5, 2007, Plaintiffs, v. James S. TAGLIAFERRI, Patricia J. Cornell, and Barry B. Feiner, Defendants.

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

August 21, 2013.

Attorney(s) appearing for the Case

Christine Tramontano, Gordon P. Katz, Robert Joseph Burns, Steven Leo D'Alessandro, Holland & Knight LLP, New York, NY, Daniel I. Small, Michael J. Stromsnes, Holland & Knight, LLP, Boston, MA, John L. Brownlee, Holland & Knight, LLP, McLean, VA, Stephen Patrick Warren, Tracy A. Nichols, Holland & Knight LLP, Miami, FL, for Plaintiffs.

John James Phelan, III, John J. Phelan, III, P.C., New York, NY, Paul K. Sun, Jr., Ellis & Winters, Raleigh, NC, Alan J. Goldberg, Margaret J. Gillis, Robert Stevenson Rosborough, Whiteman Osterman & Hanna LLP, Albany, NY, for Defendants.

MEMORANDUM AND ORDER

P. KEVIN CASTEL, District Judge:

In a Second Amended Complaint (the "SAC"), plaintiffs allege that James S. Tagliaferri and Patricia J. Cornell, investment managers, made numerous improper investments and engaged in a "kickback" scheme with a thoroughbred horse racing company. Against Tagliaferri and Cornell, the SAC alleges violations of sections 10(b) and 20(a) of the Securities and Exchange Act of 1934 and Rule 10b-5 promulgated...

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