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S.E.C. v. LORIN

No. 1019, Docket 95-6148.

76 F.3d 458 (1996)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Henry W. LORIN, Eugene K. Laff, Stanley Aslanian, Jr., Toni Vallen, Rosario Russell Ruggiero, Enn Kunnapas, Paul L. Miano, Edward J. Barter, Defendants, Capital Shares, Inc. and Lawrence Caito, Defendants-Appellants.

United States Court of Appeals, Second Circuit.

Decided February 5, 1996.

Attorney(s) appearing for the Case

Susan S. McDonald, Senior Litigation Counsel, Securities and Exchange Commission, Washington, D.C. (Simon M. Lorne, General Counsel, Eric Summergrad, Principal, Assistant General Counsel, John R. Brautigam, Paul Gonson, Solicitor, Securities and Exchange Commission, Washington, D.C., on the brief), for Plaintiff-Appellee.

Grover S. Parnell, Jr., Davis, Malm & D'Agostine, Boston, Massachusetts (Susan F. Drogin, Boston, Massachusetts, on the brief), for Defendants-Appellants.

Before: KEARSE, WALKER, and HEANEY, Circuit Judges.

PER CURIAM:

Defendants Capital Shares, Inc. ("Capital"), and its president and sole shareholder Lawrence Caito appeal from an order entered in the United States District Court for the Southern District of New York following a bench trial before Harold Baer, Jr., Judge, finding principally that Capital and Caito engaged in manipulation of the market for certain publicly traded securities, in violation of § 17(a) of the Securities Act of 1933, 15 U.S.C....

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