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S.E.C. v. FOX

Civ. A. No. CA-5-84-172.

654 F.Supp. 781 (1986)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Joseph C. FOX, David L. Ball, Patricia J. Randall and Carl J. Fleece, Defendants.

United States District Court, N.D. Texas, Lubbock Division.

Order October 16, 1986.

Attorney(s) appearing for the Case

Bernard John Barrett, Jr., Jay B. Dorsey, Lester Green, Therese D. Pritchard, Paul A. Fischer, Richard J. Sheehan, John H. Sturc, Teresa A. Koncick, Div. of Enforcement, S.E.C., Washington, D.C., Hugh Wright, Asst. Regional Adm'r, S.E.C., Fort Worth, Tex., Paul Gonson, Solicitor, Richard M. Humes, Asst. Gen. Counsel, James A. Brigagliano, Atty., S.E.C., Washington, D.C., for plaintiff.

Robert F. Watson, Jonathan G. Kerr, H. Allen Pennington, Jr., Robert W. Blair, Law, Snakard, Brown & Gambill, Fort Worth, Tex., for defendant Joseph C. Fox.

William G. Line, Kerrigan, Line & Martin, Fremont, Neb., for defendant David L. Ball.

James L. Truitt, Jackson, Walker, Winstead, Cantwell & Miller, Dallas, Tex., for defendants Patricia J. Randall and David L. Ball.

Brad Crawford, Jr., Crenshaw, Dupree & Milam, Lubbock, Tex., for defendant Carl J. Fleece.

MEMORANDUM

WOODWARD, Chief Judge.

On October 1, 1984, the plaintiff filed its complaint in this case alleging that the defendants had violated and would continue to violate Section 10(b) of the Securities Exchange Act of 1934 (hereafter Exchange Act), 15 U.S.C. § 78j(b), and Rule 10b-5 promulgated thereunder, 17 C.F.R. 240.10b-5. Plaintiff brings this action pursuant to Sections 21(d) and (e) of the Exchange Act, 15 U.S.C. §§ 78u(d) and 78u...

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