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S.E.C. v. MONARCH FUNDING CORP.

No. 98-6120.

192 F.3d 295 (1999)

SECURITIES EXCHANGE COMMISSION, Plaintiff-Appellee, v. MONARCH FUNDING CORPORATION, Leo M. Eisenberg, Steven R. Cloyes, and Richard M. Cannistraro, Defendants, Richard O. Bertoli, Defendant-Appellant.

United States Court of Appeals, Second Circuit.

Decided September 20, 1999.

Attorney(s) appearing for the Case

John Avery, Securities and Exchange Commission, Washington, D.C. (Harvey J. Goldschmid, General Counsel, Jacob H. Stillman, Associate General Counsel, Katharine B. Gresham, Assistant General Counsel, Rada Potts, Senior Counsel; and Paul Gonson, Solicitor, on the brief) for Plaintiff-Appellee.

Richard Ware Levitt, Law Offices of Richard Ware Levitt, New York, New York (Nicholas Kaizer on the brief), for Defendant-Appellant.

John H. Doyle, III, Anderson Kill & Olick, P.C., New York, New York and Jack Arseneault, and David W. Fassett, Arseneault & Krovatin, Chatham, New Jersey, submitted a brief for amici curiae, New York Council of Defense Lawyers and the Association of Criminal Defense Lawyers of New Jersey.

Joshua L. Dratel, Law Offices of Joshua L. Dratel, P.C., New York, New York, for amici curiae, National Association of Criminal Defense Lawyers and the New York State Association of Criminal Defense Lawyers.

Before: KEARSE, McLAUGHLIN, CALABRESI, Circuit Judges.

McLAUGHLIN, Circuit Judge:

The question before us on this appeal, one of first impression, is whether findings made in a criminal sentencing proceeding may preclude relitigation of an issue in a subsequent civil case.

The SEC sued Richard Bertoli in the United States District Court for the Southern District of New York (Sand, J.) seeking injunctive relief based on his alleged violations of the federal securities laws. Those same alleged violations formed...

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