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S.E.C. v. CAVANAGH

Nos. 2629, 2630 and 2631, Dockets 98-6111, 98-6119 and 98-6129.

155 F.3d 129 (1998)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Thomas Edward CAVANAGH, U.S. Milestone, and William N. Levy, Defendant-Appellants, Karen Cavanagh, Cromlix, LLC, and Tamar Lehmann, Relief-Defendant-Appellants, Electro-Optical Systems, Corp., George Chachas, Thomas R. Brooksbank, Optimum Fund, Agira Trading, Ltd., Customer Safety, S.L., Cambiarios, S.L., Construcciones, S.L., Thomas A. Hantges, Cosimo Tacopino, Defendants, Donald & Co. Securities Inc., SHBL Associates Europe Ltd., Joseph Falco, Martin Hodas, Bernd Stieghorst, Erin Martin, Anthony S. Luttenberger, Ana P. Lopez, Metropolitan Trade Finance Ltd., Tim Timlin, Carmillo Monastra, Eugene Stricker, Arthur De Acutis, Jean-Pierre Neuhaus, Kenneth C. Kehoe, and Antonio V. Borotto, Relief-Defendants.

United States Court of Appeals, Second Circuit.

Decided September 2, 1998.

Attorney(s) appearing for the Case

Melinda Hardy, Securities & Exchange Commission, New York City (Larry P. Ellsworth, General Counsel, Paul Gonson, Richard M. Humes, Philip J. Holmes, Tracy M. McGowan, Securities & Exchange Commission, Washington, DC), for appellee.

Charles J. Hecht, Hecht & Steckman, New York City, for appellant Levy.

Diana D. Parker, Morvillo, Abramowitz, Grand, Iason & Silberberg, New York City, for appellant Lehmann.

Before: CABRANES, POOLER and REAVLEY, Circuit Judges.

REAVLEY, Circuit Judge:

The Securities and Exchange Commission brought this enforcement action against multiple defendants for violations of the registration and antifraud provisions of the federal securities laws.1 The SEC also named several relief defendants in the complaint and sought disgorgement of the stock at issue and all proceeds from sales of that stock. After a six day hearing, the district court entered a preliminary injunction...

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