S.E.C. v. MILLER

No. 14-4261-cv.

808 F.3d 623 (2015)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Donald R. MILLER, Jr., in his capacity as the Independent Executor of the Will and Estate of Charles J. Wyly, Jr. also known as Charles J. Wyly, Jr., David Matthews, Lisa Wyly, Kelly Wyly O'Donovan, Andrew Wyly, Charles J. Wyly, III, Jennifer Wyly Lincoln, James W. Lincoln, Cheryl Wyly, Evan Acton Wyly, Laurie Wyly Matthews, Martha Wyly Miller, Donald R. Miller, Jr., Emily Wyly, Christiana Wyly, John Graham, Defendants-Appellants, Amuel E. Wyly, Louis J. Schaufele, III, Michael C. French, Caroline D. Wyly, Emily Wyly Lindsey, Defendants.

United States Court of Appeals, Second Circuit.

Decided: December 18, 2015.


Attorney(s) appearing for the Case

Daniel Staroselsky ( Anne K. Small , Michael A. Conley , John W. Avery , Randall W. Quinn , Hope Hall Augustini , on the brief), Securities and Exchange Commission, Washington, DC, for Plaintiff-Appellee.

David L. Kornblau ( Eric Hellerman , Evie Spanos on the brief), Covington & Burling LLP, New York, N.Y., for Defendants-Appellants.

Before: CABRANES, POOLER, and DRONEY, Circuit Judges.


This appeal arises out of a civil enforcement action brought by the Securities and Exchange Commission ("SEC") against defendants Samuel Wyly and Charles Wyly, Jr. (the "Wyly Brothers"). After a jury found the Wyly Brothers liable for multiple claims of securities fraud, the United States District Court for...

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