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IN RE STRATTON OAKMONT, INC.

No. 97-40501 ALG.

257 B.R. 644 (2001)

In re STRATTON OAKMONT, INC., Debtor. Securities Investor Protection Corporation, Plaintiff, v. Stratton Oakmont, Inc., Defendant.

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

January 24, 2001.

Attorney(s) appearing for the Case

Weil, Gotshal & Manges, LLP, New York City, Steven Alan Reiss, Adam C. Rogoff, Theodore E. Tsekerides, Gary Ticoll, of Counsel, for Harvey R. Miller, as Trustee for Stratton Oakmont, Inc., Debtor.

Securities Investor Protection Corporation, Washington, D.C., Stephen P. Harbeck, Josephine Wang, of Counsel.

Maddox, Koeller, Hargett & Caruso, Indianapolis, IN, New York City, Thomas Hargett, Steven B. Caruso, of Counsel, for Claimants Richard C. Heidal, Ousama L. Nimri and Jean Wiseman.

Timothy J. Dennin, P.C., New York City, Timothy J. Dennin, of Counsel, for Claimants Louis E. Dequine Revocable Trust and Dorothy M. Dequine Revocable Trust.

Emmett N. O'Hare, Ewing, NJ, Claimant Pro Se.

MEMORANDUM OF DECISION

ALLAN L. GROPPER, Bankruptcy Judge.

Stratton Oakmont, Inc. ("Stratton Oakmont") was a securities broker-dealer and a member of the National Association of Securities Dealers ("NASD") and the Securities Investor Protection Corporation ("SIPC"). After Stratton Oakmont was expelled from the NASD for a pattern of wilful disregard of regulatory requirements, it ceased doing business and filed a petition under Chapter 11 of the Bankruptcy...

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