SECURITIES AND EXCHANGE COMMISSION, Plaintiff,
v.
McGINN, SMITH & CO., INC. et al., Defendants,
Lynn A. Smith, and Nancy McGinn, Relief Defendants, and
Geoffrey R. Smith, Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04, and U.S. Attorney's Office for ND/NY, Intervenors.
United States District Court, N.D. New York.https://leagle.com/images/logo.png
Signed March 30, 2015.
Signed March 30, 2015.
Attorney(s) appearing for the Case
U.S. Securities and Exchange Commission, David P. Stoelting, Esq., Haimavathi V. Marlier, Esq., Jack Kaufman, Esq., Joshua M. Newville, Esq., Kevin P. McGrath, Esq., Lara S. Mehraban, Esq., of Counsel, New York, NY, for the Plaintiff.
McGinn, Smith & Co., Inc.; McGinn, Smith Advisors, LLC; McGinn, Smith Capital Holdings Corp.; First Advisory Income Notes, LLC; First Excelsior Income Notes, LLC; First Independent Income Notes, LLC; and Third Albany Income Notes, LLC, Phillips Lytle LLP, William J. Brown, Esq., of Counsel, Buffalo, NY, Timothy M. McGinn, Office of E. Stewart Jones, Jr., E. Stewart Jones, Jr., Esq., of Counsel, Troy, NY, David L. Smith, Dreyer, Boyajian Law Firm, William J. Dreyer, Esq., Benjamin W. Hill, Esq., of Counsel, Albany, NY, Lynn A. Smith, Featherstonhaugh, Wiley Law Firm, James D. Featherstonhaugh, Esq., of Counsel, Albany, NY, Geoffrey R. Smith, Individually and as Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04, and Lauren T. Smith, Linnan, Fallon Law Firm, James D. Linnan, Esq., of Counsel, Albany, NY, for the Defendants/Relief Defendants and Intervenors.
Nancy McGinn, Troy, NY, Pro Se.
MEMORANDUM-DECISION AND ORDER
GARY L. SHARPE, Chief Judge.
I. Introduction
Plaintiff the United States Securities and Exchange Commission (SEC) commenced this civil enforcement action against defendants David Smith and Timothy McGinn, along with various entities owned and controlled by McGinn and...
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