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S.E.C. v. ALEXANDER

No. 00CIV.7290(LTS)(HBP).

160 F.Supp.2d 642 (2001)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Adrian A. ALEXANDER formerly known as "Adrian Antoniu," Susi Belli, David V. Stratman, Patrick J. Rooney, Constantine Spyropoulos, Jacobus J. Lam, John R. Rooney, Patrick G. Rooney, Pavel Hillel, Westcliff Partners, Inc., Potenza Investments, Inc., Quintillion B.V., Rooney Trading, Inc. and Gianna Toffoli, Defendants, Penelope Afouxenide, Relief Defendant.

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

August 14, 2001.

Attorney(s) appearing for the Case

Charles D. Stodghill, John B. Bulgozy, Ashley C. Wall, Securities and Exchange Commission, Washington, D.C., for plaintiff Securities and Exchange Commission.

Stephen A. Dvorkin, Dickstein Shapiro Morin & Oshinsky LLP, New York City, for defendants Patrick G. Rooney and Rooney Trading.

Sheryl E. Reich, Gerald B. Lefcourt, P.C., New York City, for defendants David Stratman and Pavel Hillel.

William C. Rand, Kevin C. Logue, Paul, Hastings, Janofsky & Walker LLP, New York City, for defendant John R. Rooney.

Lawrence M. Rolnick, A. Matthew Boxer, Lowenstein Sandler PC, New York City, for defendants Adrian A. Alexander and Susi Belli.

Robert Kaplan, Robert Loigman, Friedman Kaplan Seiler & Adelman LLP, New York City, for defendant Gianna Toffoli.

OPINION AND ORDER

SWAIN, District Judge.

This civil case, in which the Securities and Exchange Commission ("SEC") alleges insider trading, is before the Court on the motions of defendants Adrian Alexander, Susi Belli, David V. Stratman, Pavel Hillel, John R. Rooney, Patrick G. Rooney, Rooney Trading, Inc. and Gianna Toffoli to dismiss the complaint ("Complaint") on the grounds that it fails to plead fraud with the particularity required by Rule 9...

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