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SECURITIES AND EXCHANGE COMMISSION v. WYLY

No. 10-cv-5760 (SAS).

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. SAMUEL WYLY, and DONALD R. MILLER, JR., in his Capacity as the Independent Executor of the Will and Estate of Charles J. Wyly, Jr., Defendants.

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

September 24, 2014.

Attorney(s) appearing for the Case

Securities and Exchange Commission, Plaintiff, represented by Daniel Staroselsky , David J. Gottesman , U.S. Securities and Exchange Commission, Hope Hall Augustini , Marsha Catherine Massey , Securities and Exchange Commission, Michael James Roessner , Securities and Exchange Commission, Alan M Lieberman , U.S. Securities and Exchange Commission, Bridget M. Fitzpatrick , U.S. Securities and Exchange Commission, Gregory Nelson Miller , U.S. Securities & Exchange Commission, John David Worland, Jr. , U.S. Securities and Exchange Commission & Martin Louis Zerwitz , U.S. Securities and Exchange Commission.

Samuel E. Wyly, Defendant, represented by Donald P. Lan, Jr. , Kroney Morse Lan, PC, Martin Robert Pollner , Loeb & Loeb LLP, Stephen D. Susman , Susman Godfrey LLP, William Andrew Brewer, III , Bickel & Brewer, Alexander David Widell , Sullivan Ruvoldt, PLLC, David D. Shank , Susman Godfrey L.L.P., Harry P. Susman , Susman Godfrey LLP, James Stephen Renard , Bank One Center, John Anthony Piskora , Loeb & Loeb LLP, Mark Howard Hatch-Miller , Susman Godfrey LLP, Michael J. Collins , Bickel & Brewer, Michael L Smith , Bickel & Brewer, Paul Vincent Miletic , Bickel & Brewer, Steven M. Shepard , Susman Godfrey LLP & Terrell Wallace Oxford , Susman Godfrey LLP.

Donald R. Miller, Jr., Defendant, represented by Donald P. Lan, Jr. , Kroney Morse Lan, PC, Martin Robert Pollner , Loeb & Loeb LLP, Stephen D. Susman , Susman Godfrey LLP, William Andrew Brewer, III , Bickel & Brewer, David D. Shank , Susman Godfrey L.L.P., James Stephen Renard , Bank One Center, John Anthony Piskora , Loeb & Loeb LLP, Mark Howard Hatch-Miller , Susman Godfrey LLP, Michael J. Collins , Bickel & Brewer, Michael L Smith , Bickel & Brewer, Steven M. Shepard , Susman Godfrey LLP & Terrell Wallace Oxford , Susman Godfrey LLP.

Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Miscellaneous, represented by Stephen D. Susman , Susman Godfrey LLP, Harry P. Susman , Susman Godfrey LLP, Mark Howard Hatch-Miller , Susman Godfrey LLP & Steven M. Shepard , Susman Godfrey LLP.

United States of America, Miscellaneous, represented by Joseph Nicholas Cordaro , U.S. Attorney's Office.

CORRECTED OPINION AND ORDER

SHIRA A. SCHEINDLIN, District Judge.

I. INTRODUCTION

The Securities and Exchange Commission ("SEC") brought this civil enforcement action against Samuel Wyly and Donald R. Miller, Jr. as the Independent Executor of the Will and Estate of Charles J. Wyly Jr. ("Charles Wyly" and, together with Samuel Wyly, the "Wylys"). The SEC alleged ten securities violations arising from a scheme in which the...

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