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U.S. S.E.C. v. UNIVERSAL EXP., INC.

No. 04 Civ. 2322 (GEL).

646 F.Supp.2d 552 (2009)

U.S. SECURITIES & EXCHANGE COMMISSION, Plaintiff, v. UNIVERSAL EXPRESS, INC., et al., Defendants.

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

August 14, 2009.

Attorney(s) appearing for the Case

Leslie J. Hughes and Julie K. Lutz, Securities and Exchange Commission Central Regional Office, Denver, CO, Robert B. Blackburn, Securities and Exchange Commission Northeast Regional Office, New York, NY, for plaintiff.

Brent R. Baker, Parsons Behle & Latimer, Salt Lake City, UT, for defendant Mark S. Neuhaus.

Marvin G. Pickholz, Jason R. Pickholz, Duane Morris LLP, New York, NY, for defendant George J. Sandhu.

OPINION AND ORDER

GERARD E. LYNCH, District Judge.

This enforcement action arises from the alleged dissemination of false information to investors by Universal Express, Inc., its chief executive officer Richard A. Altomare, and its in-house counsel Chris G. Gunderson (collectively, "Organizational Defendants"), in an effort to facilitate the illegal unregistered distribution of 500 million shares of Universal Express stock to the public through re-sellers...

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