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S.E.C. v. DRYSDALE SECURITIES CORP.

No. 85, Docket 85-6111.

785 F.2d 38 (1986)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellant, v. DRYSDALE SECURITIES CORPORATION, David J. Heuwetter, Joseph V. Ossorio, Dennis J. Ruppert, Warren Essner, Defendants, Warren Essner, Defendant-Appellee.

United States Court of Appeals, Second Circuit.

Decided February 21, 1986.

Attorney(s) appearing for the Case

Jacob H. Stillman, Associate General Counsel, S.E.C., Washington, D.C. (Daniel L. Goelzer, General Counsel, Rosalind C. Cohen, Asst. Gen. Counsel, Daniel J. Kraus, Paul Gonson, S.E.C., Washington, D.C., of counsel), for plaintiff-appellant.

Peter Fleming, Jr., New York City, (Eliot Lauer, Mark H. O'Donoghue, Bernard V. Preziosi, Jr., Andrew S. Montgomery, Law Clerk, Curtis, Mallet-Prevost, Colt & Mosle, of counsel), for defendant-appellee.

Before PIERCE, WINTER, and DAVIS, Circuit Judges.

WINTER, Circuit Judge:

The Securities and Exchange Commission ("SEC") appeals from an order of Judge Sweet of the United States District Court for the Southern District of New York dismissing its complaint, 606 F.Supp. 295. The complaint alleged that appellee had violated the antifraud provisions of the federal securities laws. Section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. § 78j(b) (1982), and Rule 10b-5...

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