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COMMODITY FUTURES TRADING COM'N v. WALSH

Docket Nos. 09-3742-cv, 09-3787-cv.

618 F.3d 218 (2010)

COMMODITY FUTURES TRADING COMMISSION, Plaintiff-Appellee, v. Stephen WALSH, Paul Greenwood, Westridge Capital Management, Inc., WG Trading Investors, L.P., WGIA, L.L.C., Westridge Capital Management Enhancement Funds, WG Trading Company L.P., WGI L.L.C., K & L Investments, Defendants, Janet Walsh, Relief Defendant-Appellant. Securities and Exchange Commission, Plaintiff-Appellee, v. WG Trading Investors, L.P., WG Trading Company, Limited Partnership, Westridge Capital Management, Inc., Paul Greenwood, Stephen Walsh, Defendants, Robin Greenwood, Relief Defendant, Janet Walsh, Relief Defendant-Appellant.

United States Court of Appeals, Second Circuit.

Question Certified: August 13, 2010.

Attorney(s) appearing for the Case

Steven L. Kessler ( Eric M. Wagner , on the brief), Law Offices of Steven L. Kessler, New York, NY, for Relief Defendant-Appellant Janet Walsh.

Nancy R. Doyle , Assistant General Counsel ( Bradford M. Berry , Deputy General Counsel, on the brief), for Dan M. Berkovitz , General Counsel, Commodity Futures Trading Commission, Washington, D.C., for Plaintiff-Appellee Commodity Futures Trading Commission.

Allan A. Capute ( Mark D. Cahn , Deputy General Counsel, and Jacob H. Stillman , Solicitor, on the brief), for David M. Becker , General Counsel, Securities and Exchange Commission, Washington, D.C., for Plaintiff-Appellee Securities and Exchange Commission.

Before RAGGI, LYNCH and WALLACE, Circuit Judges.

GERARD E. LYNCH, Circuit Judge:

Relief defendant-appellant Janet Schaberg, sued under the name Janet Walsh, is the former wife of Stephen Walsh, a defendant in actions brought by plaintiffs-appellees the Commodity Futures Trading Commission (the "CFTC") and the Securities and Exchange Commission (the "SEC") (together, the "agencies") alleging violations of the anti-fraud provisions of the Commodity Exchange Act and the Securities Exchange Act. The agencies claim that...

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