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, and
Cheryl Wyly, Evan Acton Wyly, Laurie Wyly Matthews, David Matthews, Lisa Wyly, John Graham, Kelly Wyly O'Donovan, Andrew Wyly, Christiana Wyly, Caroline D. Wyly, Martha Wyly Miller, Donald R. Miller, Jr., in his individual capacity, Charles J. Wyly III, Emily Wyly Lindsey, Jennifer Wyly Lincoln, James W. Lincoln, and Persons, Trusts, Limited Partnerships, and Other Entities Known and Unknown, Relief Defendants.
United States District Court, S.D. New York.https://leagle.com/images/logo.png
Signed July 7, 2015.
Signed July 7, 2015.
Attorney(s) appearing for the Case
Bridget Fitzpatrick, Esq., Hope Augustini, Esq., Gregory Nelson Miller, Esq., John David Worland, Jr., Esq., Martin Louis Zerwitz, Esq., Daniel Staroselsky, Esq., Angela D. Dodd, Esq., Marsha C. Massey, Esq., United States Securities and Exchange Commission, Washington, DC, for the SEC.
Stephen D. Susman, Esq., Harry P. Susman, Esq., Susman Godfrey LLP, Houston, TX, David D. Shank, Esq., Terrell Wallace Oxford, Esq., Susman Godfrey LLP, Dallas, TX, Steven M. Shepard, Esq., Mark Howard Hatch-Miller, Esq., Susman Godfrey LLP, New York, NY, for Defendants.
Josiah M. Daniel III, Esq., Vinson & Elkins LLP, Dallas, TX, for Samuel Wyly.
Judith W. Ross, Esq., Law Offices of Judith W. Ross, Dallas, TX, for Caroline D. Wyly.
David L. Kornblau, Esq., Eric Hellerman, Esq., Covington & Burling LLP, New York, NY, for Donald R. Miller, Jr., John Graham, Cheryl Wyly, Evan Wyly, Martha Miller, David Matthews, Laurie Matthews, Lisa Wyly, Kelly Wyly O'Donovan, Andrew Wyly, Christiana Wyly, Emily Wyly Lindsey, Charles J. Wyly, III, James W. Lincoln, and Jennifer Wyly Lincoln.
Chaim Zev Kagedan, Esq., Venable LLP, New York, NY, for Jennifer Wyly Lincoln.
OPINION AND ORDER
SHIRA A. SCHEINDLIN, District Judge.
I. INTRODUCTION
The Securities and Exchange Commission ("SEC") sued defendants, Sam Wyly and the Estate of Charles Wyly ("the Wylys"), alleging violations of numerous federal securities laws, including Section 10(b) of the Exchange Act, and SEC Rule 10b-5 thereunder...
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