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S.E.C. v. SMATH

No. CV-99-0523(TCP)(ETB).

277 F.Supp.2d 186 (2003)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Larry F. SMATH, Gregory R. Salvage, Joseph T. Falcone, Peter L. Cohen, Seth J. Glaser, and Frank J. Zangara, Defendant(s).

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

August 9, 2003.

Attorney(s) appearing for the Case

Eric M. Hansen, Edwin Henry Nordlinger, Securities Exchange Com'n, Robert Scott DeLeon, United States Sec. & Exchange Com'n, New York City, for Plaintiff.

William D. Gallagher, McMahon, Martine & Gallagher, New York City, for Defendant, Gregory R. Salvage.

Marc Bogatin, New York City, for Seth J. Glaser.

Thomas J. Rigiliano, Singer Frumento LLP, New York City, for Frank J. Zangara.

MEMORANDUM AND ORDER

PLATT, District Judge.

Before this Court is a motion for disgorgement and civil penalties brought by the Securities and Exchange Commission ("the SEC" or "Plaintiff") against defendant Joseph T. Falcone ("Falcone" or "Defendant"). Plaintiff seeks these remedies under Section 21A of the Securities Exchange Act of 1934, 15 U.S.C. § 78u-1, enacted as part of the Insider Trading and Securities Fraud Enforcement Act of 1988.

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