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U.S. S.E.C. v. MAXWELL

No. 2:03-CV-64.

341 F.Supp.2d 941 (2004)

UNITED STATES SECURITIES and EXCHANGE COMMISSION, Plaintiff, v. David W. MAXWELL, et al., Defendants.

United States District Court, S.D. Ohio, Eastern Division.

October 20, 2004.

Attorney(s) appearing for the Case

Mark Thomas D'Alessandro, Columbus, OH, Gregory P. Von Schaumburg, Asheesh Goel, Peter B. Driscoll, Andrea R. Wood, Kathryn A. Pyszka, christopher S. Shearer, Securities & Exchange Commission Midwest Regional Office, Chicago, IL, for Plaintiff.

Dennis J. Concilla, Stephanie Michelle Rawlings, Carlile Patchen & Murphy — 2, Elton L. Jehn, Kegler Brown Hill & Ritter — 2, Columbus, OH, for Defendants.

OPINION AND ORDER

MARBLEY, District Judge.

I. INTRODUCTION

This enforcement action filed by the United States Securities and Exchange Commission ("SEC" or the "Commission") involves alleged insider trading in the stock of Worthington Foods, Inc. ("Worthington"). The SEC alleges that Defendant, David W. Maxwell, a senior executive at Worthington, provided an illegal tip to his barber, Defendant, Elton L. Jehn, prior to the October 1, 1999...

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