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VALICENTI ADVISORY SERVICES, INC. v. S.E.C.

Docket No. 99-4002.

198 F.3d 62 (1999)

VALICENTI ADVISORY SERVICES, INC. and Vincent R. Valicenti, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Second Circuit.

Decided: November 30, 1999.

As Amended February 9, 2000.

Rehearing and Rehearing Denied February 24, 2000.

Attorney(s) appearing for the Case

Steven E. Cole, Wolford & Leclair LLP, Rochester, New York (Michael R. Wolford, Wolford & Leclair LLP, Rochester, New York, of counsel), for petitioners.

Mark Pennington, Securities and Exchange Commission, Washington D.C. (Harvey J. Goldschmid, General Counsel, Jacob H. Stillman, Solicitor, Robert C. Stacy II, Attorney, David M. Becker, Deputy General Counsel, Securities and Exchange Commission, Washington, D.C., of counsel), for respondent.

Before: FEINBERG, CALABRESI and SOTOMAYOR, Circuit Judges.

Rehearing and Rehearing En Banc Denied February 24, 2000.

PER CURIAM.

Petitioners Valicenti Advisory Services, Inc. ("VAS") and Vincent R. Valicenti appeal from an opinion and order of the Securities and Exchange Commission ("SEC" or "Commission") finding that VAS, aided and abetted by Valicenti, willfully violated various anti-fraud provisions of the Investment Advisers Act ("IAA"), 15 U.S.C. § 80b-1 et seq. (1994 & Supp.1999), and imposing...

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