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UNITED STATES v. MATTHEWS

No. 475, Docket 85-1274.

787 F.2d 38 (1986)

UNITED STATES of America, Appellee, v. Clark J. MATTHEWS II, Defendant-Appellant.

United States Court of Appeals, Second Circuit.

Decided March 27, 1986.

Attorney(s) appearing for the Case

Robert B. Fiske, New York City (Sarah S. Moss, Davis Polk & Wardwell; Gary P. Naftalis, Stuart J. Baskin, David S. Frankel and Kramer, Levin, Nessen, Kamin & Frankel, N.Y. City, of counsel), for defendant-appellant.

Jane Simkin Smith, Asst. U.S. Atty., Brooklyn, N.Y., (Raymond J. Dearie, U.S. Atty. and L. Kevin Sheridan, Asst. U.S. Atty., Brooklyn, N.Y., of counsel), for appellee.

Before VAN GRAAFEILAND and NEWMAN, Circuit Judges, and WYATT, District Judge.

VAN GRAAFEILAND, Circuit Judge:

Clark J. Matthews, II, appeals from a judgment of the United States District Court for the Eastern District of New York (Sifton, J.) convicting Matthews of violating section 14(a) of the Securities Exchange Act of 1934, 15 U.S.C. § 78n(a) and SEC's Implementing Rule 14a-9, 17 C.F.R. 240.14a-9. This conviction was based on the second count of a two-count indictment. The first count charged that Matthews and S. Richmond Dole conspired...

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