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S.E.C. v. WILLIS

No. 91 Civ. 322 (WCC).

777 F.Supp. 1165 (1991)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Robert H. WILLIS, Martin B. Sloate, Howard Kaye and Kenneth Stein, Defendants.

United States District Court, S.D. New York.

November 15, 1991.

Attorney(s) appearing for the Case

Edwin H. Nordlinger, Deputy Regional Adm'r, S.E.C., Div. of Enforcement (Carmen J. Lawrence, Robert B. Blackburn, Dorothy Heyl, Patricia T. Galvin, Roy D. Behren, Gregory J. Johnson, of counsel), and Shereff, Friedman Hoffman & Goodman (Andrew J. Levander, Joseph Giovanniello, of counsel), New York City, for plaintiff.

Hoffinger, Friedland, Dobrish, Bernfeld & Hasen (Jack Hoffinger, David Bernfeld, of counsel), New York City, for defendant Martin B. Sloate.

OPINION AND ORDER

WILLIAM C. CONNER, District Judge:

This matter is before the Court on the motion of defendant Martin B. Sloate ("Sloate") to dismiss the Complaint filed by the Securities and Exchange Commission (the "SEC") against Sloate and three other defendants, Robert H. Willis ("Willis"), Howard Kaye ("Kaye"), and Kenneth Stein ("Stein"), who are no longer parties to the suit.1 The action was brought by the SEC under the...

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