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

No. 11 Civ. 7388(JSR).

865 F.Supp.2d 457 (2012)

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

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

June 6, 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, Steven K. Taylor, San Francisco, CA, for Defendant.

OPINION

JED S. RAKOFF, District Judge.

The Complaint in this securities fraud action 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 ("Class V III").1 On December 16, 2011, Stoker moved...

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