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S.E.C. v. PENTAGON CAPITAL MANAGEMENT PLC

No. 08 Civ. 3324 (RWS).

612 F.Supp.2d 241 (2009)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. PENTAGON CAPITAL MANAGEMENT PLC and Lewis Chester, Defendants, and Pentagon Special Purpose Fund, Ltd., Relief Defendant.

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

February 10, 2009.

Attorney(s) appearing for the Case

Securities and Exchange Commission, New York Regional Office, by Paul G. Gizzi, Esq., Mark D. Salzberg, Esq., Christopher Dunnigan, Esq., New York, NY, for Plaintiff.

Pepper Hamilton LLP, Hamilton Square, by Frank C. Razzano, Esq., Ivan B. Knauer, Esq., Matthew D. Foster, Esq., Washington, D.C., for Defendants.

OPINION

SWEET, District Judge.

Defendants Pentagon Capital Management, PLC ("PCM"), Lewis Chester ("Chester," and with Pentagon, "Defendants"), and relief defendant Pentagon Special Purpose Fund, Ltd. (the "Relief Defendant" or the "Pentagon Fund") have moved pursuant to Rules 12(b)(6) and 9(b), Fed.R.Civ.P., to dismiss the Amended Complaint of the Securities and Exchange Commission ("Plaintiff" or the "SEC"). On the conclusions set forth below, the...

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