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S.E.C. v. FERRONE

No. 11-cv-5223.

163 F.Supp.3d 549 (2016)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Stephen D. FERRONE, Defendant.

United States District Court, N.D. Illinois, Eastern Division.

Signed February 22, 2016.

Attorney(s) appearing for the Case

Eric M. Phillips , Alyssa A. Qualls , Christine S. Bautista , U.S. Securities and Exchange Commission, Tracy W. Lo , Securities & Exchange Commission, Chicago, IL, for Plaintiff.

Mark L. Rotert , Corey B. Rubenstein , Stetler, Duffy & Rotert, Ltd., Andrew James Cunniff , Galarnyk & Associates, Ltd., John David Galarnyk , Galarnyk & Associates, Chicago, IL, John A. Franczyk , Franczyk, LLC, Glenview, IL, Robert Blair Krueger , The Krueger Group, LLP, La Jolla, CA, for Defendant.

MEMORANDUM OPINION AND ORDER

Plaintiff Securities and Exchange Commission (the "SEC") alleges that Defendant Stephen D. Ferrone ("Ferrone") violated Section 10(b) of the Exchange Act (15 U.S.C. § 78j(b)), Exchange Act Rule 10b...

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