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S.E.C. v. GOREN

Nos. 00-CV-970 TCPEBT, 800-8178-288TCPEBT.

206 F.Supp.2d 344 (2002)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. William GOREN, New Age Financial Services, Inc., New Times Securities Services, Inc., Defendants. Securities Investor Protection Corporation, Plaintiff, v. New Times Securities Services, Inc. Defendants.

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

May 28, 2002.

Attorney(s) appearing for the Case

Kay L. Lackey, Gerald A. Gross, Edwin Henry Nordlinger, Securities and Exchange Com'n., New York, NY, for Securities and Exchange Com'n.

Andrew Kress, Kaye, Scholer, Fierman, Hayes & Handler, LLP, for Richard L. Stone.

Karen A. Caplan, Hughes Hubbard & Reed LLP, New York, NY, Stephen P. Harbeck, Washington, DC, for Securities Investor Protection Corp.

Andrew Donner, Honigman & Donner, LLP, Melville, NY, for Joseph Falcone.

David H. Wander, Wander & Assoc., New York, NY, for D. Reis Contracting Corp.

MEMORANDUM AND ORDER

PLATT, District Judge.

Before the Court are objections from thirteen claimants ("Claimants") in the Securities Investor Protection Corporation's ("SIPC") liquidation ("SIPC Liquidation") of the consolidated estates of New Times Securities, Incorporated ("New Times") and New Age Financial Services, Incorporated ("New Age"). For the reasons stated below, those Claimants' objections are SUSTAINED.

BACKGROUND

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