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S.E.C. v. NORTON

No. 95 Civ. 4451 (SHS).

21 F.Supp.2d 361 (1998)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Jeffrey S. NORTON, Donald C. Reynolds, John A. Tartaglia, and Edward T. Menster, Defendants.

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

September 29, 1998.

Attorney(s) appearing for the Case

Kay L. Lackey, S.E.C., New York City, for Plaintiff.

Janice Digennaro, Rivkin, Radler & Kremer, New York City, for Defendant.

OPINION

STEIN, District Judge.

The Securities and Exchange Commission ("SEC") commenced this action for alleged violations of the anti-fraud provisions of the federal securities laws.1 One year ago, this Court granted in part defendant John A. Tartaglia's motion to dismiss the complaint against him pursuant to Fed.R.Civ.P. 12(b)(6) for failure to state a claim upon which relief can be granted. See SEC v. Norton,

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