S.E.C. v. FIRST JERSEY SECURITIES, INC.

Nos. 1154, 1155, Dockets 95-6192, 95-6194.

101 F.3d 1450 (1996)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. FIRST JERSEY SECURITIES, INC. and Robert E. Brennan, Defendants-Appellants.

United States Court of Appeals, Second Circuit.

Decided December 10, 1996.


Attorney(s) appearing for the Case

Jacob H. Stillman, Associate General Counsel, Washington, D.C. (Simon M. Lorne, General Counsel, Susan Ferris Wyderko, Mark Pennington, Senior Litigation Counsel, Paul Gonson, Solicitor, Washington, D.C., on the brief), for Plaintiff-Appellee.

Ronald J. Riccio, Newark, NJ (W. Hunt Dumont, Claire C. Cecci, John B. Livelli, Robinson, St. John & Wayne, Newark, NJ, on the brief), for Defendant-Appellant First Jersey Securities, Inc.

A. Leon Higginbotham, Jr., New York City (Allan Blumstein, Richard A. Rosen, Edward S. Zas, William C. Silverman, Paul, Weiss, Rifkind, Wharton & Garrison, New York City, David M. Schraver, Nixon, Hargrave, Devans & Doyle, Rochester, NY, on the brief), for Defendant-Appellant Robert E. Brennan.

Before: LUMBARD and KEARSE, Circuit Judges, and MORAN, District Judge.


KEARSE, Circuit Judge:

Defendants First Jersey Securities, Inc. ("First Jersey" or the "Firm"), and Robert E. Brennan appeal from a judgment entered in the United States District Court for the Southern District of New York following a bench trial before Richard Owen, Judge, holding defendants liable for violations of § 17(a) of the Securities Act of 1933 ("1933 Act"), 15 U.S.C. § 77q(a) (1994); § 10(b) of the Securities Exchange Act of 1934 ...

Let's get started

Leagle.com

Welcome to the leading source of independent legal reporting
Sign on now to see your case.
Or view more than 10 million decisions and orders.

  • Updated daily.
  • Uncompromising quality.
  • Complete, Accurate, Current.

Listed below are the cases that are cited in this Featured Case. Click the citation to see the full text of the cited case. Citations are also linked in the body of the Featured Case.

Cited Cases

  • No Cases Found

Listed below are those cases in which this Featured Case is cited. Click on the case name to see the full text of the citing case.

Citing Cases