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S.E.C. v. ASSET RECOVERY AND MANAGEMENT TRUST

Civil Action No. 2:02cv1372-T.

340 F.Supp.2d 1305 (2004)

SECURITIES and EXCHANGE COMMISSION, Plaintiff, v. ASSET RECOVERY AND MANAGEMENT TRUST, S.A., et al., Defendants.

United States District Court, M.D. Alabama, Northern Division.

September 24, 2004.

Attorney(s) appearing for the Case

Asita Obeyesekere, Securities & Exchange Commission, Jaun Marcel Marcelino, Securities & Exchange Commission, Martin Francis Healey, Securities & Exchange Commission, Philip C. Koski, Securities & Exchange Commission, Boston, MA, for Plaintiff.

Asset Recovery and Management Trust, S.A., pro se.

Alvin T. Prestwood, Prestwood & Associates PC, Montgomery, AL, Irving Anolik, New York, NY, Robert Bradford Garris, Tara Smelley Knee, Prestwood & Associates PC, Curtis L. (Buddy) Scott, Scott Attorneys LLC, Montgomery, AL, for Defendants.

ORDER

MYRON H. THOMPSON, District Judge.

Plaintiff Securities and Exchange Commission (SEC) filed this action against defendants Asset Recovery and Management Trust, S.A. (ARM), Frank R. Johnson, Milton Vaughn, and Carlos Fernandez Alfaro, claiming violations of §§ 5(a), 5(c) and 17(a) of the Securities Act of 1933, 15 U.S.C.A. §§ 77e(a), 77e(c) and 77(q), and of § 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. § 78j...

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