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BECK v. LEVERING

No. 379, Docket 91-6174.

947 F.2d 639 (1991)

Harold BECK, Paul H. Nielsen, Ken Bryant, A.J. Morales, Pete Prevas, Guy Chadbourne, Florin Dente, John Hayes, James N. Haverfield, individually and on behalf of all others similarly situated, Peter McGuire, on behalf of themselves and all others similarly situated, Plaintiffs, Andrew Cullen, George Bomareto and Lynn Martin, Secretary of the U.S. Department of Labor, Plaintiffs-Appellees, v. Walter LEVERING, Allen C. Scott, Robert Lowen, Lloyd M. Martin, Francis E. Kyser, Robert Murphy, Esquire, James R. Hammer, Edmund Davis, Franklin K. Riley, Anthony Naccarato, Michael Swayne, Carmina J. Bracco, Henry Nereaux, Edward Morgan, David Boyle, Richard Evans, Allen Taylor, W. Brobst, MM & P Individual Retirement Plan, MM & P Pension Plan, Defendants, Andrew A. Levy, Tower Asset Management, Inc., Tower Capitol Corporation, Tower Securities, Inc., William Randolph Wheeler and Samuel Kovnat, Defendants-Appellants.

United States Court of Appeals, Second Circuit.

Decided October 22, 1991.

Attorney(s) appearing for the Case

Andrew A. Levy, New York City, pro se, and for Tower Capitol Corp., Tower Asset Management, Inc. and Tower Securities, Inc.

William Randolph Wheeler, New York City, pro se.

Samuel Kovnat, North Stonington, Conn., pro se.

Elizabeth A. Goodman, Plan Benefits Sec. Div. (David Fortney, Deputy Sol. of National Operations, U.S. Dept. of Labor, Plan Benefits Sec. Div., Marc I. Machiz, Associate Sol., Karen L. Handorf, Counsel for Decentralized and Sp. Litigation, Jeff Sacher, Counsel for General Litigation, Washington, D.C., David S. Preminger, Liaison Counsel for Private Plaintiffs, New York City, of counsel), for plaintiffs-appellees Brock and Cullen, et al.

Before TIMBERS, WINTER and WALKER, Circuit Judges.

PER CURIAM:

Appellants Andrew Levy, Tower Asset Management, Inc., Tower Securities, Inc., Samuel Kovnat and William R. Wheeler (collectively "Tower"), appeal from Judge Broderick's order, entered on a partial summary judgment motion and permanently barring appellants from acting as fiduciaries or providing services to ERISA plans and granting restitution. Because the order was properly based on the collateral estoppel effect of a previous decision in a related action...

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