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SECURITIES AND EXCHANGE COMMISSION v. COLONIAL INVESTMENT MANAGEMENT LLC

No. 07 Civ. 8849(PKC).

659 F.Supp.2d 467 (2009)

SECURITIES and EXCHANGE COMMISSION, Plaintiff, v. COLONIAL INVESTMENT MANAGEMENT LLC, Colonial Fund LLC, and Cary G. Brody, Defendants.

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

July 7, 2009.

Attorney(s) appearing for the Case

Mark K. Schonfeld, Valerie Ann Szczepanik, U.S. Securities and Exchange Commission, New York, NY, for Plaintiff.

Ira Lee Sorkin, Nicole Pappas De Bello, Dickstein Shapiro LLP, New York, NY, for Defendants.

Richard P. Swanson, Arnold & Porter, LLP, New York, NY, for Intervenors.

FINDINGS OF FACT AND CONCLUSIONS OF LAW

P. KEVIN CASTEL, District Judge.

The Securities and Exchange Commission ("SEC") brings this action against Colonial Investment Management LLC ("CIM"), Colonial Fund LLC ("Colonial"), and Cary G. Brody ("Brody") asserting multiple violations of Rule 105 of Regulation M under the Securities Exchange Act of 1934 ("Exchange Act"). 17 C.F.R. § 242.105; see also 15 U.S.C. § 78u(d)(1). The SEC claims...

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