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S.E.C. v. PRINCE

Civil Action No. 09-1423 (GK).

942 F.Supp.2d 108 (2013)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Gary A. PRINCE, Defendant.

United States District Court, District of Columbia.

May 2, 2013.

Attorney(s) appearing for the Case

Alan M. Lieberman, Jose Manuel Rodriguez, Herbert Michael Semler, Securities and Exchange Commission, Washington, DC, for Plaintiff.

Roger E. Zuckerman, Zuckerman Spaeder, LLP, Washington, DC, C. Evan Stewart, Shawn P. Naunton, Zuckerman Spaeder LLP, New York, NY. for Defendant.

MEMORANDUM OPINION

GLADYS KESSLER, District Judge.

Plaintiff United States Securities and Exchange Commission ("SEC" or "the Commission") brings this civil action against Defendant Gary A. Prince ("Prince") alleging violations of the Securities Act of 1933 ("Securities Act"), 15 U.S.C. § 77a et seq., the Securities Exchange Act of 1934 ("Exchange Act"), 15 U.S.C. § 78a et seq., and various Rules promulgated under the Exchange...

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